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Award Change Requests (ACRs)

Related Job Aids 

We are pleased to announce that on Monday, November 15, 2021, the paper/PDF Post-Award Change Request (PACR) form process was replaced with a new smartform in the eResearch Proposal Management System (eRPM). 

What types of changes does the ACR cover?

  1. Award Reduction / De-obligation
  2. Carry Forward of Funds
  3. Cost Sharing Reduction
  4. Indirect Cost (IDC) Waiver or Class Code Change (NEW!)
  5. Mid-Project Advance Account
  6. Rebudgeting Requiring Sponsor Approval
  7. Retroactive Pre-Award Costs  
  8. Uniform Guidance Monitored Costs  (Federal funds only)
  9. General Purpose Equipment (Federal funds only)
  10. Purchase of Equipment in Last 3 Months of a Project
  11. Special Purpose Equipment not in Sponsor-Approved Budget (Federal funds only)
  12. Disengagement of PI of 90 Days or More
  13. Non-UM PI/Key Person Change (NEW!)
  14. U-M PI/Key Person Change
  15. Reduction in Effort Requiring Sponsor Approval
  16. Change in Scope
  17. Early Termination
  18. Early Termination with Transfer to New Entity (Previously "Transfer to New Institution") *
  19. Foreign Component
  20. No Cost Extension
  21. Transfer to New Department ID
  22. Change Request Not Specified Above
  23. Other Action

The following definitions do not supersede the terms and conditions that apply specifically to each award, nor does it supplant the PI's responsibility for sound and compliant grant management practices. They serve as a general guide to award management and in use of the ACR.

Award Reduction / De-obligation

Use: To process a decrease in the amount of funds previously awarded on an active project (for a budget period and/or the total award).

Examples:

  • In budget period 1, the sponsor reduces the total award by $10K.
  • In budget period 3, the sponsor deobligates $1.5K from budget period 2 and $5K from budget period 3.

Additional Information:
Award Reductions/Deobligations reduce the amount of funds committed to an active project and are typically initiated by the sponsor with an award modification.

Project Team Instructions:
If this was not a sponsor-initiated change, obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.

Required Documentation/Information:

  1. Sponsor approval/notification (e.g., amendment/modification, email) if such documentation has been obtained.
  2. The direct, indirect and total dollar amounts of the reduction.
  3. A revised budget (must identify the dollar amount and budget period(s) the funds are being deobligated from).
  4. Confirmation whether the request will result in a change in scope.
  5. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.

Carry Forward of Funds

Use: To request the carry forward of unspent funds from one budget period to another when carry forward is not automatic on the award.

Examples:

  • An amendment is received that approves $1,960 of carry forward funds from year 2 to year 3 of the project.
  • Sponsor approval is needed to carry forward $27K of unspent funds ($18K from budget period 1 and $9K from budget period 2) to spend in budget period 3.
  • Sponsor approval is needed to carry forward $46K of unspent funds from one segment of a project (AWD00000X) to the next segment (AWD00000Z).

Additional Information:
Automatic carry forward of unspent funds from one budget period to another may be allowed on certain federally funded projects. Otherwise, sponsor approval is most likely required to carry forward funds. Consult the award terms and conditions to determine whether carry forward is automatic or requires sponsor approval.

Project Team Instructions:
Obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.

Required Documentation/Information:

  1. Sponsor approval document (e.g., amendment/modification, email), OR a justification for this request using language/text that is ready to submit to the sponsor. The justification must identify the dollar amount and budget period(s) the funds are being taken from, and the dollar amount and budget period the funds are being carried forward into.
  2. The current budget period end date.
  3. The amount of funds (total costs) to be carried forward.
  4. A budget for the carry forward funds.
  5. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.

Cost Sharing Reduction

Use: To request a reduction in the committed cost share on the award.

Example:
The University committed to $20K in cost share, and now wants to reduce it to $10K.

Additional Information:

  • An ACR is not required for reductions in voluntary uncommitted cost share.
  • The University is obligated to provide cost sharing when it is approved and budgeted as part of a funded project (i.e., cost share is documented on the AWD record). This commitment is tracked, reported upon and is subject to audit. Therefore the sponsor may need to be consulted to determine whether:

Project Team Instructions:
Obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.

Required Documentation/Information:

  1. Sponsor approval document (e.g., amendment/modification, email), OR a justification for this request using language/text that is ready to submit to the sponsor.
  2. The current approved cost-share commitments, requested changes, and proposed new cost-share commitments.
  3. Confirmation whether the request will result in a change in scope.
  4. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.
  5. If reducing U-M cost share: the new total U-M cost-sharing direct and indirect dollar amounts, and the Department ID of each unit that is reducing its cost sharing commitment.
  6. If reducing third-party cost share: the new total third party cost share dollar amount.

Indirect Cost Waiver  

Use: To process an indirect cost rate waiver or class code change.

Project Team Instructions:
Follow the established business process for the school/college/institute.

Required Documentation/Information:
1. A justification for this request.
2. The proposed new budget.
3. For a class code change: the new class code, and the maximum IDC rate allowed by the sponsor (if a sponsor limit is imposed for the project).
4. For an IDC waiver request: the proposed indirect cost rate.

Mid-Project Advance Account

Use: To request a new project/grant for the next budget period of an existing AWD when anticipated funding is delayed and carryforward is not automatic on the award.

Example:
The last funded budget period on the award has ended, the next increment of funding has not arrived, and there's no automatic carryforward.

Additional Information:
• A mid-project advance account process permits work to continue and costs to be properly allocated in situations where:
• There is a delay in the process of receiving continuation funding.
• There is reasonable certainty that continuation funding will be forthcoming, as determined by the requesting unit.
• Necessary expenditures will be allowable under the award terms and start/end dates.
• ORSP may approve the mid-project advance account request provided that all relevant compliance factors have been satisfactorily addressed and carryforward is not allowed on the project.

Project Team Instructions:
The unit requesting the mid-project advance account is financially responsible if, for any reason, the award does not cover the costs incurred during the advance account period. For this reason, units are advised to do their due diligence and assess their risk exposure prior to requesting a mid-project advance account.

Required Documentation/Information:

  1. A justification for this request (evidence that continuation funding is forthcoming is not required).
  2. The start and end dates being requested for the advance account period.
  3. The direct, indirect and total dollars being requested for the advance account period.
  4. The indirect cost rate.
  5. The basis for the indirect costs (i.e., Modified Total Direct Costs, Total Direct Costs, Other - describe) consistent with the funded award and any known sponsor requirements.

Rebudgeting Requiring Sponsor Approval

Use: To request reallocation of funds from one budget category to another when sponsor approval is required.

Examples:

  • PI decides to subcontract out a portion of the project work to be completed by another entity.
  • Budgeted equipment will not be purchased and the funds are needed for other project expenses.
  • Amount of funds being transferred between direct cost categories exceeds 10% of the total sponsor-approved budget.
  • Transferring funds budgeted for participant support costs to another category of expense on a federal award.

Additional Information:
Sponsors have various policies for rebudgeting, some of which may require the sponsor's prior approval. The terms and conditions of the individual award should be reviewed for guidance.

Project Team Instructions:
Obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.

Required Documentation/Information:

  1. Confirmation whether the request will result in a change in scope.
  2. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.
  3. If sponsor approval has been obtained:
    1. Sponsor approval documentation (e.g., amendment/modification, email).
    2. The new sponsor-approved budget.
  4. If sponsor approval has not been obtained:
    1. A justification for this request using language/text that is ready to submit to the sponsor
    2. The current approved budget, requested changes, and proposed new budget.

Retroactive Pre-Award Costs 

Use: To request approval to spend sponsor funds in advance of the project period start date.

Examples:
• Travel expenses for a budgeted trip that will occur shortly after the project start date.
• Purchase of budgeted equipment needed early in the project that has a long lead time for delivery.

Additional Information:
Pre-award costs must be necessary for the effective and economical conduct of the project and must be allowable under the terms and conditions of the award.

Project Team Instructions:
Obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.

Required Documentation/Information:
1. Sponsor approval document (e.g., amendment/modification, email), OR a justification for this request using language/text that is ready to submit to the sponsor.
2. The proposed start date of the pre-award period.
3. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.

Uniform Guidance Monitored Costs (Federal funds only)

Use: To request approval to directly charge project expenses normally treated as Facilities and Administrative Costs (i.e., F&A, indirect costs, IDC).

Examples:
Clerical and administrative salaries, computing devices, hosting, subscriptions, books, membership dues, postage, office supplies, and telecommunications.

Additional Information:
• Uniform Guidance (UG) Subpart E - Cost Principles defines which costs may be charged as direct costs to federal projects and which costs are normally considered F&A.
• To qualify as a direct cost, expenses normally considered F&A must be allowable, allocable, reasonable, and consistently treated in accordance with established institutional policies and practices. U-M policy and procedure documents which costs can be charged directly and which expenses may qualify as an exception.
• UG Monitored Costs: https://orsp.umich.edu/uniform-guidance-monitored-costs-formerly-21.

Project Team Instructions:
Obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.eral prime.

Required Documentation/Information:

  1. If sponsor approval has been obtained:
    1. Sponsor approval documentation (e.g., amendment/modification, email)
    2. The new sponsor-approved budget.
  2. If sponsor approval has not been obtained:
    1. A list of the budget categories being reduced and increased, including the specific dollar amounts (the overall budget amount must remain the same).
    2. A description of the items being requested including the quantity and unit price of each item.
    3. An explanation for why each item is necessary and how it relates to the specific aims or objectives of the project.
    4. A description of how each item is different from similar items normally provided by the institution that are treated as F&A costs.

General Purpose Equipment (Federal Funds Only)

Use: To request approval to purchase equipment whose use is not limited to research, medical, scientific or other technical activities.

Examples:
Office equipment and furnishings, computers, air conditioning equipment, reproduction and printing equipment, facsimile machines, refrigerators, and freezers.

Additional Information:
Expenditures for general-purpose equipment on federal funds are unallowable unless the equipment is primarily used for the actual conduct of the research.

Project Team Instructions:

  • To request approval for equipment costs associated with a non-federal award, select ACR type "Rebudgeting Requiring Sponsor Approval."
  • Obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.

Required Documentation/Information:

  1. Sponsor approval (e.g., amendment/modification, email) if such documentation has been obtained.
  2. A description of the equipment to be purchased.
  3. The dollar amount of the cost estimate or quote for the equipment to be purchased (actual quote document may be required by the sponsor).
  4. A description of the intended use of the equipment, with a particular emphasis on how it will exclusively benefit the funded project.
  5. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable. 

Purchase of Equipment in Last 3 Months of a Project

Use: To request approval to purchase equipment during the last 3 months of an award, even if the sponsor-approved budget included funds for the equipment.

Example: PI wants to purchase equipment 90 days or less before the project end date.

Additional Information:
Purchase of equipment in the last three months of a project requires prior U-M approval even when the sponsor-approved budget includes funds for the equipment.

Project Team Instructions:
A detailed, project-specific justification is necessary for equipment purchases in the last 3 months of a project, except in cases where a renewal award is imminent.

Required Documentation/Information:

  1. A description of the equipment.
  2. A detailed, project-specific justification for why the equipment is necessary to complete the scope of work.
  3. The dollar amount of the cost estimate or quote for the equipment to be purchased (actual quote document may be required by the sponsor).
  4. If the equipment was included in the most recent sponsor-approved budget: the sponsor-approved budget.
  5. If the equipment was not included in the most recent sponsor-approved budget: the current approved budget, requested changes, and proposed new budget.

Special Purpose Equipment not in Sponsor-Approved Budget (Federal funds only)

Use: To request approval to purchase equipment not included in the sponsor-approved budget and whose use is limited to research, medical, scientific or other technical activities.

Examples:
Microscopes, x-ray machines, surgical instruments

Additional Information:
For research grants incorporating standard Federal-Wide Research Terms and Conditions, U-M has delegated authority in several instances to approve the purchase of equipment that was not in the original sponsor-approved budget. Grants by NIH (which may consider such a purchase to constitute a change in scope) and Department of Energy are exceptions that may require U-M to first seek prior sponsor approval.

Project Team Instructions:

  • To request approval for equipment costs associated with a non-federal award, select ACR type "Rebudgeting Requiring Sponsor Approval."
  • Obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.

Required Documentation/Information:

  1. A description of the equipment to be purchased.
  2. The dollar amount of the cost estimate or quote for the equipment to be purchased (actual quote document may be required by the sponsor).
  3. A description of the intended use of the equipment, referencing the specific aims or goals of the project.
  4. Confirmation whether the request will result in a change in scope.
  5. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.
  6. If sponsor approval has been obtained:
    1. Sponsor approval documentation (e.g., amendment/modification, email).
    2. The new sponsor-approved budget.
  7.  If sponsor approval has not been obtained:
    1. A justification for this request using language/text that is ready to submit to the sponsor.
    2. The current approved budget, requested changes, and proposed new budget.

Disengagement of PI of 90 Days or More

Use : To process a request for the temporary disengagement of a PI from a project for 90 days or more.

Examples:
PI is on a sabbatical or leave of absence.

Additional Information:
Sponsors reasonably expect that the PI will be physically present at the location where their funded project is carried out to manage the award and ensure that objectives and timelines are met. Most sponsors want to be notified when a PI will be disengaged for short periods of time; federal sponsors, in particular, require advance notification when a PI will be disengaged for a period of time extending 90 days or more. Individual awards should be reviewed for specific guidance.

Project Team Instructions:
Obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.

Required Documentation/Information:

  1. Sponsor approval document (e.g., amendment/modification, email), OR a justification for this request using language/text that is ready to submit to the sponsor.
  2. The name of the U-M or non-UM PI that will be disengaged.
  3. The start date and end date of the PI disengagement period.
  4. A plan detailing how the project will be carried out and overseen during the PI's disengagement.
  5. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.

Non-UM PI/Key Person Change

Use: To process a change to a non-UM investigator designated as a key person by the sponsor.

Example:  U-M is the awardee institution for an NIH multi-PI project with a PI at Wayne State, and the Wayne State PI is changing.

Additional Information:   ACRs do not route to non-UM investigators. Approvals must be obtained outside the system and uploaded below.

Project Team Instructions:
Obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.

Required Documentation/Information: Sponsor approval document (e.g., amendment/modification, email), OR a justification for this request using language/text that is ready to submit to the sponsor.

  1. A description of any budget changes that will result from this request.
  2. Confirmation whether the request will result in a change in scope.
  3. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.
  4. For each non-UM key person added:
    1. Name.
    2. Contact information (including email address, institution/entity).
    3. The first date they will be active on the project.
    4. If sponsor approval has not been obtained: A biographical sketch when required by the sponsor (required by most federal sponsors, direct and prime).
    5. If sponsor approval has not been obtained: Documentation of other sources of support (required by most federal sponsors, direct and prime).
  5. For each non-UM key person removed:
    1. Name.
    2. Email address.
    3. The final date the person will be active on the project.

UM PI/Key Person Change

Use: To process a change to a U-M investigator designated as a key person by the sponsor.

Examples:

  • The current Principal Investigator (PI) is leaving U-M and a new PI is taking over the project.
  • A sponsor-identified key person will no longer participate on the project.

Additional Information:
Non-key investigator changes do not require an ACR and are updated via the Manage Non-Key Investigators activity on the AWD.

Project Team Instructions:
Obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime. This action is not required for Key Person changes that are internal to U-M only, such as a change to the Appointing Department.

Required Documentation/Information:

  1. Sponsor approval document (e.g., amendment/modification, email), OR a justification for this request using language/text that is ready to submit to the sponsor.
  2. A description of any budget changes that will result from this request.
  3. Confirmation whether the request will result in a change in scope.
  4. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.
  5. The new Contact PI if any edits result in a change to the Contact PI.
  6. Confirmation whether the request will result in a change to the Administrative Home Department.
  7. For each U-M key person added:
    1. Name/uniqname.
    2. eRPM role on the project.
    3. The first date the person will be active on the project.
    4. The appointing department.
    5. A biographical sketch when required by the sponsor (required by most federal sponsors, direct and prime).
    6. Documentation of other sources of support when required by the sponsor (required by most federal sponsors, direct and prime).
  8. For each U-M key person removed:
    1. Name/uniqname.
    2. The final date the person will be active on the project.
  9. For each U-M key person changed: the desired updates to the eRPM role on the project, sponsor role on the project, or appointing department. 

Reduction in Effort Requiring Approval

Use: To request a reduction in effort for a PI/Key Person on an award requiring sponsor approval for effort reduction.

Example:  A key person participating on a federal project wishes to reduce their level of effort from 30% to 20% (a 33% reduction).

Additional Information:

  • For federally funded projects, a reduction of effort of 25% or more from the most recent committed level of effort requires prior sponsor approval.
  • Some awards have specific effort requirements (i.e., NIH K & F awards) that may/may not allow reductions. The terms and conditions of the individual award should be reviewed for guidance.

Project Team Instructions:
Obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.

Required Documentation/Information:

  1. Sponsor approval document (e.g., amendment/modification, email), OR a justification for this request using language/text that is ready to submit to the sponsor.
  2. Confirmation whether the request will result in a change in scope.
  3. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.
  4. For each UM or non-UM key person reducing their effort:
    1. Uniqname/name.
    2. The start date of the effort reduction.
    3. The most recent sponsor-approved level of effort in person months (required only if sponsor approval has not been obtained).
    4. The new level of effort being requested in person months.

Change in Scope

Use: To request a change in the scope or research objectives of an award.

Examples:

  • Change in the goals or specific aims approved at the time of award.
  • Any change from the approved use of animals or human subjects.
  • Shifting the emphasis of the research from one disease area to another.
  • Transferring the performance of substantive programmatic work to a third party by contract or any other means.

Additional Information:
U-M is almost always required to seek approval from the sponsor when the scope or research objectives of a funded project change.

Project Team Instructions:
Obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.

Required Documentation/Information:

  1. Sponsor approval document (e.g., amendment/modification, email), OR a justification for this request using language/text that is ready to submit to the sponsor.
  2. A description of the scope change requested.
  3. An explanation of how the scope change will impact the timeline, budget and project deliverables.
  4. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.

Early Termination

Use: To request termination of an award at U-M prior to the current end date.

Examples:

  • The PI is leaving U-M and the project will not be transferred to an outside entity or assigned a new UM PI.
  • The sponsor has requested the project close earlier than originally planned.
  • The PI has expended all of the awarded funding and has submitted all project deliverables.

Additional Information:

  • All required final reports (e.g., financial, technical, property and patent), must still be submitted to the sponsor.
  • Departments should be mindful of whether an early termination may negatively impact the sponsor's willingness or contractual requirement to make a final payment on outstanding invoices.
  • Award agreements typically include a clause for how an early termination situation will be handled, so individual awards should be reviewed for specific guidance.

Project Team Instructions:

  • If the project will continue at another entity, select ACR type "Early Termination with Transfer to New Entity."
  • If this was not a sponsor-initiated change, obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.

Required Documentation/Information:

  1. Sponsor approval (e.g., amendment/modification, email) if such documentation has been obtained.
  2. A reason for requesting early termination (use language/text that is ready to submit to the sponsor).
  3. The final date the award will be active at U-M.
  4. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.

Early Termination with Transfer to New Entity

Use: To request termination of an award at U-M prior to the current end date when the project will continue at another entity.

Examples:

  • NIH Relinquishment
  • A PI is leaving U-M to work for a new institution and plans to transfer this award to the new entity.

Additional Information:
If U-M is the recipient of a subcontract/subaward that will be terminated and the pass-through entity (PTE) will fund the project to continue at another entity, select ACR type "Early Termination."

Project Team Instructions:

  • If the project will not continue at another entity, select ACR type "Early Termination."
  • Obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.

Required Documentation/Information:

  1. Sponsor approval document (e.g., amendment/modification, email), OR a justification for this request using language/text that is ready to submit to the sponsor.
  2. The name and contact information of the person at the office equivalent to ORSP at the new institution.
  3. The final date the award will be active at U-M.
  4. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.

Foreign Component

Use: To process a change to a project's foreign component(s) when the sponsor requires either prior approval or the information be reported to them.

Examples:

  • The involvement of human subjects or animals (performed outside of the U.S).
  • Collaborations with investigators at a foreign site anticipated to result in co-authorship
  • Use of facilities or instrumentation at a foreign site by U-M or non-U-M personnel
  • Receipt of financial support or resources from a foreign entity
  • Extensive foreign travel for the purpose of data collection, surveying, sampling, and similar activities
  • Any activity that may have an impact on U.S. foreign policy through involvement in the affairs or environment of a foreign country

Additional Information:

Project Team Instructions:

Obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.

Required Documentation/Information:

  1. A brief description of the foreign component(s).
  2. The country(ies) associated with the foreign component(s).
  3. Confirmation whether the request will result in a change in scope.
  4. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.
  5. All requests to NIH must be submitted to ORSP on U-M letterhead, ready to be co-signed by an authorized ORSP official, and include a description of:
    1. The nature of the foreign component and country in which the foreign component will take place;
    2. For a collaboration with investigators affiliated with foreign institutions:
      1. for each investigator, their first and last name, affiliation, address, phone number, email and role on the project;
      2. planned scientific exchanges between U-M and the foreign-affiliated investigator;
      3. amount of funds in U.S. dollars to be transferred each year to the foreign site/investigator (state $0.00 if none);
      4. the management plan for ensuring accurate attribution of authorship and inventorship;
    3. The special aspects of the project warranting the foreign component (e.g., human subjects, animals, disease, equipment, techniques, expertise); and
    4. The reason(s) why the work to be done using the proposed foreign component can’t be done within the U.S. or with a U.S. investigator.
  6. If the collaboration involves a transfer of grant funds to the foreign entity (e.g., a new subcontract), also provide:
    1. Complete contact information for the foreign entity;
    2. A Scope of Work (SOW);
    3. An itemized budget for each budget period; and
    4. If human subjects are included in the foreign entity’s SOW, a Federalwide Assurance (FWA) number or other documentation that they have Institutional Review Board (IRB) oversight.

No Cost Extension

Use: To request an extension of the project end date to complete the scope of work using funds previously awarded.

Example:  The PI needs 12 months of additional time beyond the project end date to complete the specific aims, and there are adequate funds remaining.

Additional Information:
The fact that funds will remain unspent at the project end date is not in itself acceptable justification for an extension.

Project Team Instructions:

  • Extension requests should be routed 30-90 days prior to the project end date, subject to the sponsor's requirements.
  • Obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime.
  • Open-ended research agreements do not require sponsor approval.

Required Documentation/Information:

  1. Sponsor approval document (e.g., amendment/modification, email), OR a justification for this request using language/text that is ready to submit to the sponsor. The justification must include the reason additional time is needed to complete the specific aims of the project.
  2. An estimate of the total sponsor funds (directs + indirects) that will remain unobligated as of the current project end date.
  3. The requested new project end date.
  4. A description for how the unspent funds will be used during the extension period (list of budget categories).
  5. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.

Transfer to New Department ID

Use: To request a change to the Administrative Home Department of an award.

Examples:

  • The PI of an active project transfers to a new department ID and wants the project administration to be handled by the new department.
  • An active project transfers to a new PI in a different department, and the new PI wants the project administration to be handled by her department.

Additional Information:
Revenue/expense transfers, when applicable, are handled outside of eRPM. Contact the P/G Coordinator on the AWD record for guidance.

Project Team Instructions:
In addition to completing this ACR, coordinate the award transfer with the newly proposed Administrative Home and address revised support for cost-share or other commitments as a result of the transfer if applicable.

Required Documentation/Information:

  1. The new Department ID.
  2. The effective date of the requested transfer.
  3. The name/uniqname of the Primary Post-Award Contact in the new department.
  4. The name/uniqname of the Additional Post-Award Contact in the new department.

Change Request Not Specified Above

Use: To process an award change that is not one of the ACR types above.

Examples:

  • IPA modifications
  • Change in payment terms
  • Change in Contract Research Organization (CRO)
  • Other sponsor amendment / modification not specified in another change type

Additional Information:
ORSP may determine additional approvals are required depending on the change requested.

Project Team Instructions:
If this was not a sponsor-initiated change, obtain sponsor approval prior to routing this ACR for awards with a non-federal direct sponsor (excluding universities with a federal prime) that do not require submission by an authorized institutional official. ORSP will request sponsor approval for awards with a federal direct sponsor, and awards that have a university direct sponsor with a federal prime. 

Required Documentation/Information:

  1. Sponsor approval (e.g., amendment/modification, email) if such documentation has been obtained.
  2. A description of the change being requested.
  3. For NIH direct, multi-PI projects only: approvals from all non-UM PIs if applicable.

Other Action

Use : To request an ORSP action.

Examples:

  • Process, sign and/or submit documents (e.g., NIH Final RPPR/Invention reports, HRPO/ACURO approvals, PRAM/FRAM, Grants Online progress reports)
  • Update the AWD record with a HUM ID, PRO ID, or IBCA ID
  • Release AWD hold due to PEERRS completion

Additional Information:

  • Other Action requests cannot be selected in combination with any other ACR type.
  • Other Action requests route directly to ORSP.

Project Team Instructions:
When requesting ORSP sign and send a document to the sponsor, be sure to include the sponsor contact information in the ORSP Instructions box on the ACR Final Page.

Required Documentation/Information:

  1. A description of the action being requested. 

FAQs

To submit requests for changes to active, funded projects.

Research Project Teams.

Consult the terms and conditions and sponsor policies applicable to the award before completing the ACR. PIs and Project Teams bear the responsibility to administer funded projects in compliance with U-M and sponsor requirements.

Please feel free to contact your ORSP Project Representative to assist.
 

 The ACR must be submitted to ORSP early enough to allow time for administrative processing and to secure sponsor approval in advance of the requested change.

The eRPM system will automatically route to all appropriate U-M parties for the required approvals for each ACR type (ACR Approval Matrix: https://orsp.umich.edu/manage-project/acr-approval-matrix).

Sometimes ORSP may have the authority to approve the requested change; other times, prior sponsor approval is necessary before ORSP can process the change.

Questions?