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Policy: VIII.A.5

Issued: August 15, 1996

Owner: Assistant Vice President for Research Administration in the Office of Sponsored Programs

Latest Revision: March 22, 2007

GRANT AND CONTRACT CHANGES

1.0 Purpose

This policy covers budgetary and other grant change requests.  In both cases individual sponsor guidelines will govern the individual procedures for an award. 

2.0 Policy [Top]

2.1 Budgetary Changes

2.1.1 Purpose & Background 

This policy provides general information about budget category restrictions and outlines the procedures for requesting changes. Unanticipated rebudgeting requirements or changes are permitted within the sponsor's and University's limitations.
The University permits the principal investigator or project director to deviate from the approved budget if:

2.1.2 General Limitations on Rebudgeting 

Specific limitations may appear in the sponsor's award document and/or University's official "Notice of Award." Limitations under OMB Circular A-21 and general sponsor requirements are outlined below:
For budget categories restricted by the sponsor, PRIOR APPROVAL is required before rebudgeting.  Restricted budget categories may include, but are not limited to, the following:

2.1.3 Limitation Concerning Indirect Costs in Rebudgeting 

Funds awarded and identified for indirect costs may be rebudgeted into direct costs during the budget period only if such action is permitted by the sponsor and endorsed by the University.
When the modified total direct costs (MTDC) base upon which indirect costs are calculated is increased by rebudgeting and no additional funds are provided by the sponsor, the principal investigator must reduce other direct costs to provide for additional indirect costs from the rebudgeting action.
The budget categories that are not included in this MTDC base are:

2.2 Other Grant and Contract Changes

The following changes require a Form SP-23 and a letter addressed to the sponsoring agency.  See also: Procedure 8-13, "Preparation of Grant and Contract Changes".

2.2.1 Processing Procedure

In order to request necessary prior approval for the above, the principal investigator/program director will:

ALL REBUDGETING ACTIONS MUST BE SUBMITTED IN TIME TO PERMIT PRIOR APPROVAL BY THE UNIVERSITY.  APPROVAL, "AFTER THE FACT," IS SUBJECT TO SPONSOR DISAPPROVAL.

3.0 Definitions [Top]

4.0 References [Top]


See also: Procedure 8-13, "Preparation of Grant and Contract Changes".

5.0 Approvals and Revisions [Top]


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