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.

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.

Examples of changes that may require prior sponsor approval include: a change of PI or key personnel, lift funding restrictions, carry forward/carry over, programmatic changes, early termination or relinquishment, addition of a subaward, or the addition of foreign national participation on Dept. of Energy Awards.

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

Prior Approval Resources:

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 a Modification Request in SAGE (OSP/GCA). See CHECKLIST: OSP/GCA Modifications in SAGE

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

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.

When creating an award Modification (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 indicate what you are requesting
  • For Modifications that require a SAGE Budget, create a SAGE budget snapshot and include a link to that snapshot in the comments field.
  • For budget changes to an existing award line, include the Workday Grant ID (GR######) along with the request for budgetary changes.
  • For GCA only items that do not already have a required form, GCA encourages including their optional GCA Modification Checklist along with your requests.

Review the Tell us your story video & slides for more details.

Clinical Trials Agreement Changes

Select all relevant MOD categories 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? If yes, then the Amendment must be reviewed by the UW Clinical Trials Office – CTO. We must have their review/approval before signing the agreement.

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.

Funding & Budgeting Changes

Each of these types of Modification Requests include some sort of funding or budgeting change.
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.

Review more guidance for each type of funding and budgeting change:

Supplement

A sponsor may provide award funds incrementally throughout the project.

Supplemental funding is processed under a SAGE Modification Request (OSP/GCA) select Funding and Budget Changes.

Often OSP receives supplements from the sponsor and will create the initial Modification Requests in SAGE and send these to campus for completion.

Some things to keep in mind when creating or completing a MOD for a Supplement:

  • Indicate the MOD is for a Supplement in the comments.
  • Supplemental funding requires a SAGE Budget Worksheet.
  • 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, if necessary. Investigators should update their SFI disclosures if they have not renewed their SFI or if there is new or updated SFI to disclose.
  • If the supplement is also an extension, both Funding & Budget and Schedule Changes should be selected as MOD types in SAGE.

Note: Award Setup Requests are not used for supplemental funding.

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 funded by a sponsor. Do not use an ASR.

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

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.

Select Funding & Budgeting Changes on the MOD, indicate this is a Carryover request in the comments, and provide OSP with:

  • Concurrence letter attached to Modification request in SAGE 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? The amount of funds to be carried forward and an explanation of unobligated balance.
  • Create a SAGE Budget snapshot and include a link to that snapshot in the comments.
    • This detailed SAGE Budget Worksheet needs to include the carryover amounts according to how they are going to be spent.
  • 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.
  • Attach a copy of the carryover budget for submission to sponsor (according to sponsor requirements).

Automatic Carryover?

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.

Review guidance for Temporary Internal Extensions.

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

When prior sponsor approval is required you will need to submit the request on a SAGE Modification Request (OSP/GCA).

  • Create a Modification Request (OSP/GCA), select Funding and Budgeting Changes, and within the comments indicate it is a rebudgeting request.
    • Detail the need for the rebudget request and reflect how the rebudgeting will support the project: If no sponsor system of submission is involved, attach a completed concurrence letter to the Modification Request along with any other supporting sponsor required documentation.
    • If a sponsor uses an electronic system for submission of the request, use that system to prepare and forward your request to OSP (AOR).
  • Create a SAGE budget snapshot and include a link to that snapshot in the comments field.
  • Include the Workday Grant ID (GR######) along with the request GCA will know which Grant ID changes should be applied to.
  • Include any Supporting Attachments.

Rebudgeting when Prior Sponsor Approval NOT Required

This includes rebudgeting to transfer funds between award lines and requesting an award line for a subaward when sponsor approval is not required. Review GCA guidance on Modifications.

When sponsor approval is not required:

Related Resources:

Subaward – Prior Approval

Create a SAGE Modification Request (OSP/GCA), select Funding and Budgeting Changes, indicate Subaward – prior approval required in the comments and:

  • Attach subaward documentation consistent with GIM 7 to the Modification Request.
  • If sponsor approval is required, attach a concurrence letter for submission to the sponsor along with any other sponsor required documentation to the Modification Request.
  • Update a SAGE Budget worksheet for the new subaward on the Awarded SAGE Budget.
  • Create a SAGE Budget snapshot and include a link to that snapshot in the comments field.

Subaward – Request Award Line Creation

This request is similar to requesting rebudgeting when sponsor prior approval is not required. Review GCA Only Modifications guidance.

When sponsor approval is not required:

  • Create a GCA Only Modification Request, select Funding and Budgeting Changes, and indicate “Request Award Line Creation for Subaward” in the comments.
  • Update awarded budget and worksheets in SAGE Budget.
  • Create a SAGE budget snapshot and include a link to that snapshot in the comments field.
  • Include the Workday Grant ID (GRXXXXXX)# along with the request so GCA will know which Grant ID changes should be applied to.
  • GCA encourages including their optional GCA Modification Checklist along with your GCA only Modification requests.
  • Follow your departmental/campus unit guidance for including Ad Hoc approvers your unit requires for budget changes.

Deobligations

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

What to do:

Create a SAGE Modification Request (OSP/GCA), select Funding and Budgeting Changes, indicate this is for a Deobligation in the comments, and provide the following with your MOD in SAGE:

  • Deobligation or revised award notification from the sponsor indicating reduced award amount
  • PI confirmation accepting award amount reduction.
    • This can be in the form of the PI included as an Ad Hoc Approver on the MOD or an email with PI approving the deobligation attached to the Modification Request.
  • Create a SAGE Budget snapshot and include a link to that snapshot in the comments field of the Modification Request. It 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.
  • 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 End of Award Changes category and attach a completed End of Award form.

Addition of Equipment

The purchase of equipment typically results in rebudgeting and may also result in a change of scope for the project.
Many sponsors require that prior approval is requested before making this significant purchase, if not included in the approved budget.

  • Create a SAGE Modification Request (OSP/GCA), select Funding and Budgeting Changes, indicate Addition of Equipment in the comments field.
  • Include Supporting Attachments such as  a completed concurrence letter, and supporting sponsor required documentation (e.g. copy of the quote from the equipment vendor/manufacturer).
  • Create a SAGE Budget snapshot and include a link to that snapshot in the comments field.
    • 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.

Schedule Changes

Schedule changes include:

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. Review the instructions for submitting an extension request.

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.

Create a SAGE Modification Request (OSP/GCA)

  • Select Schedule Changes, indicate Extension Request in the comments field.
  • Attach a copy of your completed Extension Request form.
  • 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).
  • If a sponsor uses an electronic system for submission of the request, use that system to prepare and forward your request to OSP (AOR).
  • An updated SAGE Budget Worksheet is not needed.
  • The PI, Personnel, & Organizations page of the original eGC1 should be updated, if necessary.
  • Investigators should update their SFI disclosure if they have not renewed their SFI or if there is new or updated SFI to disclose.
  • Include a comment indicating this request is for an Extension.

Some 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 a SAGE Modification Request (OSP/GCA).

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

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

  • Create a Modification Request in SAGE (OSP/GCA), select Schedule Changes, indicate temporary internal extension request in the comments field
  • Attach a copy of your completed Extension Request form
  • You must provide an alternative departmental non-sponsored project worktag on the extension form
  • Note: Temporary Internal Extensions are no more than 6 months per request up to 12 months total

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. Please review guidance for Temporary Internal Extensions. Expenditures under the Temporary Internal Extension period will not be billed until the sponsor approved modification has been processed.

Start Date Changes

When there are start date changes to an award and prior sponsor approval is required, create a Modification Request (OSP/GCA). Include a comment indicating this is a request for a Start Date Change.

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).

Programmatic Changes

Programmatic changes that require prior sponsor approval typically include changes to the scope of work, addition or removal of key personnel, change 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.

Review your award and the sponsor requirements to ensure compliance with any programmatic changes.

Programmatic Changes include:

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 approval required, the UW needs the new PI to provide specific assurances, and the unit Chair & Dean also need to provide their concurrence.

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 Requesting a Change of PI after Proposal up to Time of Award.

Instructions
  • Follow instructions for completing Change of PI form including Preliminary Steps required to change a PI.
  • Update eGC1 PI, Personnel, & Organizations page: Change the Principal Investigator.
    • Update any other Personnel and/or Investigator Status for the project if applicable. If other Key Personnel are changing, sponsor prior approval is also required, follow steps for Key Personnel changes.
  • Submit a SAGE Modification Request (OSP/GCA), select Programmatic Changes and attach:
    • Completed Change of PI Request form.
    • Proof of Sponsor’s authorized representative approval or, if sponsor approval is outstanding, attach request drafted to the sponsor on the new PI’s campus unit letterhead, signed by the new PI and the former PI (or Chair/Unit Lead if former PI unavailable) for OSP concurrence.
    • Documentation reflecting the new PI’s suitability for the role (such as their Biosketch and Other Support) as required by the sponsor.
    • Other supporting material as required by the sponsor.
  • Make any budgetary changes on the award budget in SAGE Budget as needed and select Funding and Budgeting Changes along with Programmatic Changes, and include a comment that this request is for a change of PI.
    • If the budget needs changes:
  • Provide details on changes to the scope of work that result from personnel changes.
  • Include an explanation of the change in MOD comments field.

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 requirements for a change of PI when Human Subjects or Animal Research is involved.

After OSP receives the authorized sponsor representative’s 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.

Human Subjects Research: Change of PI

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:

  • Submit a modification to the IRB reviewing the study
  • Change the responsible party at ClinicalTrials.gov, if the study is a registered clinical trial
Animal Subjects Research: Change of PI

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:

  • Submit an amendment to the IACUC protocol(s)
  • Reach out to OAW with questions or for assistance transferring animals to another institution oawrss@uw.edu.

Key Personnel Changes

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.

Verify the Key Personnel have not been debarred or suspended.

  • Submit a SAGE Modification Request (OSP/GCA), select Programmatic Changes, add a note in the comments this is a request to change Key Personnel
  • Attach a completed concurrence letter to the Modification Request
  • Include an explanation of the change in MOD Comments field
  • Attach a replacement Personnel Biographical Sketch
  • Update any budgetary changes on the award budget in SAGE Budget as needed
    • Create a SAGE Budget snapshot and include a link to that snapshot in the comments field.
    • 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 Funding and Budgeting Changes in addition to Programmatic Changes
  • Provide details on changes to the scope of work that result from personnel changes

Cost Share Changes – Prior Approval Required

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

  • Select: MOD Category for Programmatic Changes as well as any other MOD categories being requested
  • Add Comment: Cost Share Change – sponsor approval required
  • Attach: completed Cost Share Addendum
  • Attach: concurrence letter as needed to request sponsor approval, see sample concurrence letter

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.

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.

Create a SAGE Modification Request (OSP/GCA) and include:

  • Explanation of necessary change.
  • Any scope of work change as a result.
  • Update Awarded SAGE Budget Worksheet(s).
    • Create a SAGE Budget snapshot and include a link to that snapshot in the comments field.
    • 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 Funding and Budgeting Changes in addition to Programmatic Changes
  • Sponsor approval for named key personnel, if you already have it.
  • Updated Cost Share Addendum attached to MOD if cost shared effort involved and will change.

Location Changes

Submit these as GCA Only Modification Requests.

Note:  change in location mid-project (for example an on-campus to off-campus or off-campus to on-campus) does not trigger an F&A rate change, by policy. See GIM 13.

Sponsor Property – Addition

If a sponsor will be issuing government property for use, or funding the development of property owned by the government, the PI/unit should consult with the Equipment Inventory Office (EIO). Most of the inventory reporting requirements are handled through EIO processes.

Work Scope Change

  • Create a SAGE Modification Request (OSP/GCA), select Programmatic Changes, include a note in the comments that is a request for a Work Scope Change.
  • Attach a concurrence letter describing intended change in scope, scientific justification or other sponsor required information to make the request.
    • If the PI already has an award modification in hand, attach it to the Modification Request to OSP.
  • An updated SAGE Budget Worksheet is not needed unless the change leads to rebudgeting, in which case also select Funding & Budgeting Changes, and
    • Create a SAGE Budget snapshot and include a link to that snapshot in the comments.
    • 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 Programmatic Changes as well as Funding & Budgeting Changes
  • The PI, Personnel & Organizations page of the original eGC1 should be updated, if necessary.

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:

  • Human Subjects: Submit a modification to the IRB reviewing the study.
  • Animal Use: Submit an amendment to the IACUC protocol(s). Reach out to OAW with questions or for assistance transferring animals to another institution oawrss@uw.edu.
  • Changes that introduce new or changes to SFI: Disclose in FIDS to make updates.

Other Changes

Includes:

Progress Report – RPPR – Submission

A Modification Request in SAGE is not needed for the following progress report submissions:

  • Sponsor allows direct submission of the progress report by the PI
  • NIH: SNAP eligible Annual, Interim, or Final RPPRs
  • NIH: Interim and Final RPPRs
  • Fred Hutchinson Cancer Center (FHCC)
    • FHCC does not require OSP signature on progress report materials / Letter of Intent for non-competing years

You do need a SAGE Modification (OSP/GCA) for the following progress report submission requests:

  • NIH non-SNAP Annual RPPR.
  • Some federal flow-through awards, if the pass-through entity requires a signature or a Letter of Intent.
      • Don’t assume they require a signature.
      • Confirm with the pass-through entity before routing a Modification.

What to do

  • Create a Modification Request (OSP/GCA), select Other Changes, within the comments indicate this is for an RPPR/Progress Report.
  • If no sponsor system of submission involved, attach the progress report or other sponsor required documentation for progress report submission.
  • Investigators should update their SFI disclosure 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.

Review more:

Cost Center Changes

These requests are submitted on a GCA Only Modification Request, select Other Changes.

Restriction Release

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.

Requesting Funding Restriction Removal: Prior Approval Required

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 Award Plan in Workday under ledger account 95150 and object class 21.

Submit requests for prior approval via a SAGE Modification Request (OSP/GCA), select Other Changes, and provide:

  • Description of the request
  • Explanation of how requirements have been met to release the restriction
  • Supporting documentation attached to the MOD that reflects requirement has been met (e.g. protocol approval)
  • After sponsor prior approval is obtained, OSP will approve the MOD and send it to GCA

Request Removal of Funding Restriction when Prior Sponsor Approval is NOT Required

Requests to remove spend restrictions on an award when prior approval is not required are submitted on a SAGE GCA Only Modification Request, select Other Changes, indicate request to remove funding restriction in the comments.

GCA encourages including their optional GCA Modification Checklist along with your Award Modification requests.

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 submit an Award Modification Request in SAGE to OSP/GCA and select Other Changes.

  • Attach the completed Federal Repository form.
  • Include a comment on the Modification that indicates what you are requesting.

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

End of Award Changes

The end dates for awards can change because of Early Termination, Relinquishment, and Award Transfers. At the UW, these changes need to be requested via a SAGE Modification Request (OSP/GCA) End of Award Change.

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.

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 an Early Termination or Relinquishment:

  • Complete the relevant portions of the End of Award request form, attach to a SAGE Modification Request (OSP/GCA), and select End of Award Changes.
  • If there are active subawards, you will also need to request a subaward modification request in SAGE Subawards to terminate subawards.
  • 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 a SAGE Modification Request (OSP/GCA) and select End of Award Changes.
  • If animals are also being transferred with the transfer of an award: Contact OAW
  • Review the following sections on NIH relinquishments for additional instructions.

NIH Relinquishments

  • 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.
  • 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).
  • Attach completed NIH relinquishment form to a SAGE Modification Request (OSP/GCA).
  • OSP will submit the request to NIH in eRA Commons.

Holds

Banner indicates Holds or compliance checks are in process. View the Comments & History section for more information.
OSP and GCA both can manually apply a “Hold” 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.

The Comments & 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 & History section for information on any action items you may need to address.

Why was my Modification Request returned?

Your request may be returned for a variety of reasons, including:

  • Compliance Approval Needed
  • Form Missing
  • Inaccurate information
  • Incomplete information
  • Pending Activation Notice (for fellowship)
  • PI acknowledgement Needed
  • Revised SAGE Budget Needed
  • SAGE Budget Needed
  • Other

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