Post-Award Changes

Roles & Responsibilities

Principal Investigators

  • Create myGRANT proposal development (PD) record for post-award changes requiring a new PD
  • Provide ORS with a revised/new budget and/or scope of work, as required
  • Provide relevant documents to the assigned ORS Pre-Award Specialist for post-award changes, as needed
  • Provide information and/or approval as requested by ORS
  • Maintain and renew all necessary compliance approvals
  • Maintain up-to-date conflict of interest disclosures and obtain an approved management plan, if required

Fiscal Administrators

  • Assist the PI with budgets required for funding changes
  • Submit electronic workflow approval in myGRANT where required to indicate that the submitted budget conforms to sponsor and university requirements
  • Provide information as requested by ORS

Chancellor / Dean / Director/ Chairperson

  • Coordinate corrective action required if the post-award change is not supported by an approved myGRANT proposal development record or is otherwise without official UH sponsorship
  • Provide written documentation of agreement to RTRF reallocation, where applicable
  • Submit electronic workflow approval in myGRANT to signify acceptance and assumption of full responsibility for the administration and fiscal accountability of, and provision of necessary resources for, the proposed changes to the project, or to confirm agreement to the change in RTRF allocation
  • Provide information and/or approval as requested by ORS

Office of Research Services

  • Ensure that post-award changes have a corresponding myGRANT proposal development record and appropriate institutional approvals (e.g., compliance protocols, conflict of interest management plan) where required
  • As the UH authorized organizational representative:
    • Endorse and transmit post-award change requests to the sponsor
    • Process and document post-award changes, as needed
    • Accept and acknowledge grant amendments on behalf of UH, where required
    • Coordinate proper execution of award amendments which require legally binding signatures on behalf of UH
    • Provide technical advice regarding applicable UH policies & procedures, governmental rules and regulations, and sponsor requirements
  • Distribute copies of fully executed award amendments to the sponsor, PI and FA, as appropriate

Process

myGRANT Proposal Development (PD) Record Required

A myGRANT PD must be created and routed for workflow approval for the post-award changes listed below. Expand each item below for specific requirements.

Change in funding not related to closeout

For changes in funding not related to closeout (e.g., reduction in award amount due to sponsor’s lack of funds or request for supplemental funding):

  • Create a myGRANT proposal development (PD) record with the applicable proposal type (e.g., “Post-Award Action” or “Supplemental’)
  • Attach the required documentation to the PD (see table below)
  • Complete the normal PD process

Required Documentation

UH-Initiated Change Sponsor-Initiated Change
Request for funding adjustment & justification signed by the PI Sponsor approval of the funding adjustment
Updated budget & scope of work Updated budget & scope of work

Change in PI

For PI changes:

  • Create a myGRANT proposal development (PD) record with proposal type “Post Award – Change in PI“
  • Attach the required documentation to the PD (see table below)
  • If the PI change will result in a change in the Research and Training Revolving Fund (RTRF) allocation:
    • Enter the new allocation in the “Key Personnel” tab
    • Attach written documentation from all affected departments of the reallocation agreement
  • Complete the normal PD process

Required Documentation

UH-Initiated Change Sponsor-Initiated Change
Request for PI change & justification signed by the PI Sponsor approval of the PI change
Biosketch of the proposed new PI Biosketch of the proposed new PI

Change in RTRF allocation

Changes in department or key personnel that do not result in a change to the Research and Training Revolving Fund (RTRF) allocation do not require creation of a myGRANT proposal development (PD) record, and notice of the change can be sent directly to the assigned ORS Pre-Award Specialist.

For changes in RTRF allocation:

  • Create a myGRANT proposal development (PD) record with proposal type “Post Award – Change in RTRF Allocation“
  • Enter the new allocation in the “Key Personnel” tab
  • Attach written documentation from all affected departments of the RTRF reallocation agreement
  • If the PI has changed departments, attach written notice of the department change
  • If there has been an addition or deletion in key personnel, attach written documentation of the key personnel change
  • Submit the PD to workflow routing for approval

Once the fully approved PD is received, ORS will document the RTRF reallocation.

Change in scope of work

For scope of work (SOW) changes:

  • Create a myGRANT proposal development (PD) record with proposal type “Post Award – Change in Scope of Work“
  • Attach the required documentation to the PD (see table below)
  • Complete the normal PD process

Required Documentation

UH-Initiated Change Sponsor-Initiated Change
Request for SOW change & justification signed by the PI Sponsor approval of the PI change
Proposed new/adjusted SOW Approved new/adjusted SOW

myGRANT Proposal Development (PD) Record Not Required

No-cost Extensions (NCE)

Please send the original and one copy of the formal no-cost extension request letter to your assigned Pre-Award Specialist for endorsement and transmission to the sponsor. Once sponsor approval is received, a copy of the approval will be forwarded to the PI and FA via myGRANT.

Deobligation Relating to Closeout

A deobligation relating to closeout is a sponsor reduction in award amount to match the actual amount expended for the project. Forward the deobligation documentation to your assigned Pre-Award Specialist for further processing.

Rebudgets (Line Items)

For rebudgeting of line items not requiring sponsor approval, forward a copy of your revised budget and justification to your assigned Pre-Award Specialist for further processing.

If the rebudget requires sponsor approval, send the original and one copy of the formal rebudget request letter to your assigned Pre-Award Specialist for endorsement and transmission to the sponsor. Once sponsor approval is received, a copy of the approval will be forwarded to the PI and FA via myGRANT.

Resources

myGRANT FAQ (see “Post Award” section)

POLICIES & PROCEDURES

AP 8.926 Administrative and Financial Management Requirements for Extramurally Financed Research and Training Programs/Activities of the University of Hawai‘i