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Award Adjustments
Please note - process overviews have been developed as guidance only and can be changed at any time. Please contact your Sponsored Projects Administration team with any questions.
- Administrative Extension
- Administrative Funding
- Budgeting Revisions
- Carryover Funding
- Change in Key Personnel
- Change in Scope
- No-Cost Extension
- Supplemental Funding
Definition:A principal Investigator’s request to extend the end date of an administratively established award if the following conditions exist:
The award is delayed at the sponsor’s end
OVPR has the award in hand that is waiting final negotiation and acceptance
Process Owner: Office of the Vice President for Research (OVPR)
Process Overview:
The PI submits a written request (e-mail) to the SPAII with the new end date being requested
The SPAII reviews the request and recommends its approval by forwarding it to central office at osr
gwu [dot] edu (osr[at]gwu[dot]edu) with a copy to the designated OVPR NegotiatorThe OVPR Negotiator approves the request, forwards it to OVPR Admin to be scanned and noted in the GCO Tracker so the award in Oracle can be updated.
Definition: A Principal Investigator’s request to extend the end and close dates of an existing Active award if the following conditions have been met:
A proposal for the modification has been submitted to the sponsor
The PI hears that an amendment to the existing award is forthcoming and may want to start making commitments and spending the new money immediately
Necessary compliance approvals have been met
OVPR has the award modification in hand that is waiting final acceptance, or,
The modification may be delayed at the sponsor’s end.
Process Owner: Office of the Vice President for Research (OVPR)
Process Overview:
The PI submits a written request (addressed to OVPR designee and signed by the Department Chair or the Dean if the PI is the Chair) to the SPAII with the following information:
The period for which the Administrative Funding is requested (no more than three months)
A statement indicating that any unrecoverable costs will be borne by the home department or school
The SPAII reviews the request and recommends its approval by forwarding it to the School Finance Director (SFD) for approval
Following SFA’s approval, SPAII forwards the approved request to central office at osr
gwu [dot] edu (osr[at]gwu[dot]edu) with a copy to the designated OVPR NegotiatorThe OVPR Negotiator approves the request, forwards it to OVPR Admin to be scanned and noted in the GCO Tracker so the award in Oracle can be modified.
Definition: A process by which a change to an established budget is made.
Reasons for an award budget to be changed:
When a new year of funding is received
When a supplement is received
Re budgeting request is approved by the sponsor
When a de-obligation is received or in cases of early termination.
Carry over unexpended funds
A budget revision form (if applicable) maybe completed and submitted to OVPR for review. Review of the budget revisions will take into consideration the original intent of the project, how the budget revision(s) will support the goal(s) of the project and if the revision is reasonable, allocable and allowable.
Process Owner: Office of the Vice President for Research (OVPR)
Process Overview:
Federal Award Guidelines:
Each individual federal Agency may have its own contract terms and conditions, but most should follow 2 CFR 200.
Submission and approval of a budget modification is required prior to expenditures not included in the approved budget. If a letter of approval is not on file, it is possible an audit finding will be made.
Non-Federal Award Guidelines:
Non Federal Funding agencies have their own policies regarding transfer between budget categories. For example, Robert Wood Johnson Foundation requires budget revision for grants over $500,000, if the change in a budget category for the given budget year results in an increase of the greater of 10 percent of the category or $10,000.00.
The principal investigator must discuss budget revisions with OVPR (SPA II) prior to submitting the request.
The following documents are required for all budget modification requests.
A request letter signed by the principal investigator and organization’s authorized official.
A budget that includes the approved funding allocation and the proposed reallocation.
A justification describing the reason for the modification and the impact on the Milestones and Timeline.
A revised Milestones and timeline document, if applicable
The PI submits the written letter to the SPA II.
The SPA II reviews the documents and recommends approval by forwarding them to the SPM.
The SPM does the final review and forwards them to the central office at ors
gwu [dot] edu (ors[at]gwu[dot]edu) for approval.The approved request is sent back to the PI via email for submission to the sponsor.
The Central Office scans the documents in GWDocuments.
Note: All Budget Revisions are to be entered in whole dollars; please do not list cents and do not round up. For example, record $20.00, not $20.25 or $20.86. Also, credit must equal debit amounts (i.e. increase column Should equal decrease column).
Definition: Carryover funding is the balance remaining of any unspent funds at the end of the budget period. A carryover funding request would be necessary when the terms and conditions of the award requires that any unobligated balance on the award cannot be spent without prior sponsor approval or it is not indicated within the terms and conditions of the award.
Process Owner: Office of the Vice President for Research (OVPR)
Process Overview:
For Carryover Funding Requests that require prior sponsor approval, the PI prepares and submits the documents below to the SPAII:
A written request (Letter - addressed to the Sponsor (Grants Management Specialist for federal awards) with a line for GW Concurrence), budget and corresponding budget justification that captures the unobligated balance on the award to be carried over.
This written request should be forwarded to your appropriate SPM/A team member prior to it being sent to the sponsor.
For Carryover Funding Requests that Do Not require prior sponsor approval, the PI prepares and submits the documents below to the SPAII:
A written request (E-mail to SPAII) and an internal budget and corresponding budget justification that captures the unobligated balance to be carried over.
This written request should be forwarded to your appropriate SPM/A team member prior to it being sent to the sponsor.
A carryover funding request is not the same as a no-cost extension.
Definition:
Key personnel are defined as individuals who are directly involved in conducting research with human participants, or are directly involved with handling identifiable private information related to those participants in the course of a research project, regardless of the source of research funding. Students who are directly involved in either aspect of research involving humans are considered key personnel.
Senior/key personnel designated in the application by applicant organization by NIH:
The program director/principal investigator (PD/PI) and other individuals who contribute to the scientific development or execution of a project in a substantive, measurable way, whether or not they request salaries or compensation.
Senior/key personnel named in NoA designated by NIH:
PD/PI(s) are always considered senior/key personnel and are always named in the Notice of Award (NoA). NIH program officials use discretion in identifying in the NoA senior/key personnel other than the PD/PI(s), and may identify individuals that are considered critical to the project, i.e., their absence from the project would have a significant impact on the approved scope of the project.
Process Owner: Office of the Vice President for Research (OVPR)
Process Overview:
The PI prepares and submits following documents to the SPA II:
A written request (Letter - addressed to the Sponsor (Program Official for federal awards) with a line for GW Concurrence)
The SPA II reviews the letter and recommends approval by forwarding it to the SPM
The SPM does a final review and forwards the letter to central office at osr
gwu [dot] edu (osr[at]gwu[dot]edu) and a copy to the AOR for review, concurrence signature, and submission to the sponsor via e-mail or other form of submission dictated by the sponsor.
NIH – Only senior/key personnel named in the NoA need prior approval from NIH to make changes in status.
Associated Forms/Resource Links:
Definition:A Change in Scope, as defined by NIH “is a change in direction, aims, objectives, purposes, or type of research training, identified in the approved project.” A grantee must obtain prior approval for a change in scope. A PI may make changes in the methodology, approach, or other aspects of the project without prior approval.
Process Owner: Office of the Vice President for Research (OVPR)
Process Overview:
The PI prepares and submits the documents below to the SPAII:
A written request (Letter - addressed to the Sponsor (Program Official for federal awards) with a line for GW Concurrence) that addresses one or more of the items listed under Change in Scope definition
The SPAII reviews the letter and recommends approval by forwarding it to the SPM
The SPM does a final review and forwards the letter to central office at osr
gwu [dot] edu (osr[at]gwu[dot]edu) and a copy to the AOR for review, concurrence signature, and submission to the sponsor via e-mail or other form of submission dictated by the sponsor.
A No-Cost Extension (NCE) allows the PI additional time to complete the project's scope of work without additional funding. The request should address only programmatic/scientific rationale and should not propose any new studies during the extended period.
There are two types of NCE requests:
- A grantee-approved NCE does not require prior sponsor approval (i.e., GW has expanded authority to execute a one-year NCE in eRA Commons or Fastlane).
- A sponsor-approved NCE request is considered a sponsor prior approval request and may require more information and documentation than the grantee-approved NCE
Process for Grantee-Approved NCE
For NCE requests that do not require prior sponsor approval (i.e., GW has expanded authority to execute a one-year NCE in eRA Commons or Fastlane), the PI or a designee completes and submits the Grantee-Approved No-Cost Extension web form to Office of Sponsored Projects (OSP). If recommended for approval, OSP will forward the request to the sponsor or, if requested, return the request to the initiator.
Process for Sponsor-Approved NCE
For NCE requests that do require prior sponsor approvals, the PI or designee prepares and submits an email request to the Office of Sponsored Projects (OSP) as well as a request through the sponsor's portal (or a written request addressed to the sponsor with a line for GW concurrence). The email to OSP should include a programmatic justification as well as a budget and corresponding budget justification for the NCE period of performance. If recommended for approval, OSP will forward the request to the sponsor or, if requested, return the request to the initiator.
- Please review the sponsor-specific guidance for submitting a NCE or contact your Sponsored Projects Administrator, Post-Award
Definition: Supplemental funding is additional funds awarded to support an expansion of scope of work on an existing project or the addition of a new element
In some Schools, this may be a result of a proposal to request the additional funding having been submitted to the sponsor and approved. This may also be sponsor-initiated.
Process Owner: Office of the Vice President for Research (OVPR)
Process Overview:
Prior to funding being added to your award, a proposal must be submitted through the OVPR proposal routing process.
If the supplemental funding is to expand the scope of work on the project, the new funds are loaded to the existing projects.
In those cases where the supplemental funding is restricted to the support of a particular individual, a new award may be set up.
Associated Forms/Resource Links:
For more information, please contact your SPM Team.