Research OSPA:Amendments and Modifications Process

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Effective Date

September 1, 2013

Statement of the Issue

Processing of incoming Amendments and Modifications

Applicable Policy/Regulation

The Office of Sponsored Projects (OSP) will negotiate all research agreements, subcontracts, amendments, and modifications in accordance with UT Dallas policies, the Intellectual Property Policy of The University of Texas System and, as appropriate, the Federal Acquisition Regulation and/or OMB Uniform Guidance (UG) 2 CFR 200. (See The University of Texas System Policy UTS145.) Such amendments or modifications will conform with all standard and special provisions of individual awards made by a sponsor via grant or contract to UTD, or through a first-tier subcontractor to UTD. An amendment or modification can be made to a grant, contract, subcontract, or sponsored research agreement, and is a formal or official change made to a legal document. Amendments or modifications can add, remove, or update parts of these grants or agreements. It may introduce or cancel specifications or terms of an existing contract, while leaving intact its overall purpose and effect.

Process

If the amendment or modification is incoming or outgoing, the respective Specialist will process it.

  • For Incoming amendments and modifications:
    • Verify the amend/mod information matches the original award – title, award/subaward number, PI, etc. If corrections are needed, contact sponsor for negotiation/changes.
    • Add a ‘PI Read and Understood’ line, if there is not already one, and forward amend/mod to PI for approval and signature. Once PI has signed, forward to the Assistant Director, OSP.
    • Assistant Director will sign and return to Specialist. If amend/mod needs signature from prime sponsor, send partially executed to prime contact for signature.
    • Once fully signed by all parties, upload amend/mod in the Awards Module “Attachments” section in Peoplesoft using correct file naming conventions.
    • Forward the amend/mod and budget, if necessary, to the Post-Award Management Specialists in the Office of Post-Award Management (OPM), and copy the OSP Business Process Analyst (BPA).
    • Put the folder on the BPA’s award table for processing. BPA will notify the PI, his/her Administrative Assistant, and the School Fiscal Officer (SFO) once OPM has completed the Peoplesoft entry of the contract modification (e.g., extension of time; additional funds, etc.).
  • For outgoing amendments and modifications, the following items will be required:
    • UTD PI signature/email approval of the amend/mod
    • A detailed budget, if additional funds will be added
    • Revised SOW, if change in scope
    • File folder of the prime award
    • If applicable, research compliance approvals (e.g. IRB, IACUC, Human Subjects training, Responsible Conduct of Research, etc.)

If the original agreement is an FDP template, use the FDP amendment template for the amendment/modification, found at {http://sites.nationalacademies.org/PGA/fdp/PGA_063626}.If the original agreement is not an FDP template, use the Subrecipient Agreement amendment template for the amendment/modification, found here: G:\Sponsored Projects\Contracts\Agreements\Subcontracts\Subcontracts Out\Nonfederal Subawards\Amendment.

For PS entry and instructions, follow the procedure found here: G:\Sponsored Projects\Processes\PeopleSoft Processes\PS-Outgoing Subawards.

Once the amend/mod has been fully executed, upload amend/mod in the Awards Module “Attachments” section in Peoplesoft using correct file naming conventions.

For additional information, refer to the OPM process.

Definitions

  • Amendments and Modifications (amend/mod) - An addition, deletion, or change to a legal document which can only be accomplished by mutual agreement of all the parties. Once a contract is amended, the portions of the contract affected by the amendment are superseded and can no longer be given any force or effect. Amendments or modifications may be needed to add or delete work from the scope, extend the contract term, allow for additional time to complete the work, and reflect changes in requirements that arise due to events occurring after execution of the contract.
  • Incoming – An incoming amend/mod is issued to UTD from a prime sponsor or a first-tier subcontractor. UTD is performing a service or a portion of a project for which the first-tier subcontractor received an award from a prime sponsor.
  • Outgoing – An outgoing amend/ mod is issued by UTD to another organization to perform a service or part of the project for which UTD received an award.
  • First-tier subcontractor is the entity to which a sponsor makes an award (prime award), who then subcontracts to UTD.
  • Federal Demonstration Partnership (FDP)
    • Cooperative effort among federal research agencies and recipients of federal funds aimed at reducing the administrative burden associated with research grants and contracts.
    • Implemented streamlined terms and conditions for research grants.
  • Uniform Guidance - In effect December 26, 2014 and published by the federal Office of Management and Budget (OMB), this guidance supersedes and streamlines requirements from OMB Circulars A-21, A-87, A-110, and A-122; Circulars A-89, A-102, and A-133; and the guidance in Circular A-50 on Single Audit Act follow-up. This guidance provides a government-wide framework for grants management which will be complemented by additional efforts to strengthen program outcomes through innovative and effective use of grant-making models, performance metrics, and evaluation.

http://www.whitehouse.gov/omb/grants_docs