Obtaining the Amendment

PI-Initiated Amendments

Contact PostAward – Notify your PostAward specialist as soon as you identify the need for an amendment (e.g., budget increase, NCE, change in PI). Your specialist will review the award terms and conditions to determine appropriate next steps.

Agency-Specific Submission – Some sponsors, such as NSF, NIH, and CPRIT, require amendment requests submitted through their online grant portals. Your PostAward specialist will guide you through the process, ensure compliance with agency requirements, and submit the request on your behalf.

Note: Some requests, like NCEs, have strict deadlines—please reach out well in advance to avoid delays.

Sponsor Communication – When sponsor approval is required, the PostAward specialist will submit the request via email or formal documentation. Your input may be needed to provide justifications or supporting documents.

Reviewing the Amendment – If the sponsor issues an amendment (e.g., budget change, extension, scope modification), PostAward will review the document to determine the necessary actions.

PI Confirmation – Certain changes, like funding reductions or scope adjustments, may require your review and approval before processing.

• For NCEs: The new end date and funding amount must be accurate.
• For Budget Changes: If the awarded amount differs from the proposed budget, PostAward will confirm the amount with you before proceeding. Significant reductions may require a revised scope of work.
• For Carryforward Requests: If the amendment includes restrictions on carrying forward unspent funds, you may need to submit a request. PostAward will advise on next steps.

If No Signature is Required – Some amendments (e.g., unilateral modifications) do not require institutional signatures and will be processed internally by PostAward.

If Signature is Required – If the sponsor requires institutional approval:

• Your PostAward specialist will facilitate the signature process with the university’s Authorized Organizational Representative (AOR).
• For industry or foreign-sponsored awards, the amendment must be signed by the Assistant or Vice President for Research, coordinated through the Contract Administrator.

Finalization – Once the fully executed amendment is received from the sponsor, PostAward will update the award record in the university’s system (UT Share) and notify you and your department when processing is complete.

Reach out to PostAward as early as possible when an amendment is needed. Some requests (like NCEs) have strict deadlines—plan accordingly. Review any sponsor-initiated amendments for accuracy, especially those involving funding or scope changes. Your PostAward specialist is your primary contact for navigating amendment requests and sponsor communication.

A No-Cost Extension (NCE) is used when the PI needs additional time to complete the project but does not require additional funding. An NCE does not change the total amount of the award but extends the project period.

When to Request:
Request an NCE when it is clear that the project cannot be completed within the original project period, but no additional funds are needed.

• Example: The research is taking longer than expected due to unforeseen delays, but all remaining costs can be covered within the existing budget.

How to Request:

• Submit a request to the funding agency through the PostAward office, typically 30 to 60 days before the end of the project period.
• The request must include a technical justification of why the extension is needed, any remaining milestones, and the amount of time required to complete the project.
• The PI and department administrators must ensure that the project’s objectives will be met within the extended timeline.
• The PostAward office will facilitate the submission of the request to the sponsor and track approval including obtaining needed amendments and NOAs
• Once approved, PostAward will process the extension in UT Share and inform the PI and department via a distribution email.

A scope change refers to any significant alteration to the project’s objectives, research design, or methodology.

How to Request:

• Submit a request to PostAward, clearly outlining the proposed changes to the scope and providing justification for why the changes are necessary to fulfill the goals of the project.
• Ensure that the revised scope remains aligned with the overall goals and objectives of the award.
• The PostAward office will assist in drafting and submitting the request to the sponsor for approval.

If you plan to transfer to a new institution and have active or pending grants/contracts, you must notify the OGCS as early as possible. Award transfers typically require approval from both the sponsor and UTA. Since awards are issued to the institution on behalf of the PI, UTA has the authority to:

• Retain the award at UTA and assign a new PI.
• Approve the transfer of the award to your new institution.
• Terminate the award if it is no longer viable

Steps for PIs Transferring Awards

1. Initiate the Process: Complete the PI Transfer Form in MENTIS. This form identifies:
   • Pending proposals
   • Active awards
   • Equipment requested for transfer
   • Outstanding and anticipated reports and deliverables
2. Complete the Form
   • Indicate the requested action for each pending proposal or active award
   • List any equipment you wish to transfer
   • Provide required justifications for each item
   • Specify the plan for submitting outstanding or anticipated deliverables to ensure timely submission
3. Request Approval for Transfer
   • Route it for Chair and Dean signatures
   • OGCS will then review before routing for Vice President for Research (VPRI) approval
4. Processing Actions
   • If the transfer is approved by all required UTA officials, PostAward will take action on all necessary items, including active awards and equipment transfers.

Award Transfers (if approved by UTA and sponsor)

1. PostAward will coordinate with the funding agency to request approval.
2. If approved, OGCS will work with Grant Accounting to close out the UTA project and transfer any unobligated balance.
3. If equipment is transferring, OGCS will coordinate with the receiving institution’s property office for approval.
4. If the sponsor denies the transfer, OGCS will work with you to determine next steps.

If the Award Remains at UTA (not being transferred with you)

• A replacement PI must be nominated.
• The current PI must ensure that all negative balances and overdue reports are reconciled before departure.
• OGCS will facilitate sponsor approval for the PI change.

If the Award Will Be Terminated (not transferring and no replacement PI is identified)

• The current PI must ensure that all negative balances and overdue reports are reconciled before departure.
• PostAward will follow agency guidelines to request termination and close out the award.

Finalizing the Transfer

• Once all agency approvals are secured, OGCS will:
  • Ensure all required forms and documents are on file.
  • Provide relevant documentation to the new institution, if applicable.
  • Update award records in UT Share and notify you and your department once processing is complete.

Key Takeaways for PIs

If you are considering a transfer, notify OGCS as early as possible to initiate the process. It is important to work closely with the PostAward Office to ensure full compliance with sponsor requirements. Transfers require approval at multiple levels, including the Department Chair, Dean, and the Vice President for Research. Additionally, the transfer of equipment and funding must be carefully coordinated between institutions. OGCS will guide you through each step of the process and will provide final confirmation once all requirements have been met and the transfer is complete.

A carryforward request is made when funds allocated in a previous period are unused and need to be moved into the next period for continued project work. Funding agencies such as NIH, AHA, and CPRIT require carryforward approval on many of their awards. When carryforward restrictions exist, PostAward will isolate award funds into separate projects each budget year.

How to Request:

• Contact PostAward and inform them of the need for a carryforward request, justifying why the unspent funds need to be moved to the next year and explaining how they will be utilized.
• The PostAward office will assist in ensuring the request complies with sponsor rules and facilitates the submission and approval process.
• Once approved, PostAward will inform GCA so they can transfer any remaining prior-year balances into the current year project account.