Amendments

Projects don't always develop as initially planned. In some instances, the terms and conditions may need to change which may require amendments to the award or agreement. Some examples might include the following:

  • The project is taking longer than expected to complete.
  • Additional funds are required to complete the project or an expanded scope.
  • The principal investigator (U of A PI) leaves the institution.
  • A different Sponsor takes over administration of the source funding.
  • The principal investigator switches to another Faculty or Department.

Most amendments require written approval from the Sponsor(s). Please notify your Sponsor(s) as soon as possible when an amendment is required. The requirement for Sponsor approval applies to both internal and external Sponsors.

Additional information is provided below for some of the more common amendments requested. While multiple changes can be included under one Amendment request, only one amendment request can be submitted/completed at a time via the Researcher Home Page. Please contact your research facilitator if you need to amend a submitted request.


  • 1. Change of Project End Date

    If a Project is ongoing, has unspent funds, and expenses that still need to be incurred after the current end date, you will need to request approval from the Sponsor to extend the end date. Sponsor approval must be in writing and, depending on the original terms of the funding, a formally signed agreement amendment may be required.

    Principal Investigators should contact the Sponsor directly and propose a new end date with clear rationale as to why an extension is required. Sponsors take varying lengths of time to make decisions so requests should be made well in advance of the current end date. RSO recommends starting this process 3 months in advance of the end date to allow sufficient processing time for both the Sponsor and RSO.

    Once the Sponsor has provided approval, please create an Amendment request via the Researcher Home Page, attach the sponsor approval to the request and submit it into workflow for online approval. RSO will assign the request for processing, and where required negotiation of an amending agreement, once they receive the approved amendment request.

    End date extensions for Multi sponsor Conference, Donation, or Lab and General Research Services Projects require approval from your Department and Faculty to extend the Project. These approvals are obtained through the online workflow approval process.

    * Ensure that all applicable ethics certifications are up-to-date.

    If your Project is complete and you need it reopened to move preexisting expenses in or out of the project, please contact your research facilitator.

  • 2. Change in Award Amount (Increase in Amount)

    Sometimes the activities of a project are expanded upon, or cost more than anticipated necessitating additional funds. In these situations, we need written approval from the Sponsor before amending the Project to add funds. Depending on the original terms of the funding, a formally signed agreement amendment may be required.

    Please create an Amendment request via the Researcher Home Page, and attach the Sponsor approval, a description of any additional activity (i.e. updated scope) and budget for how the additional funds will be spent and submit it into workflow for online approval. RSO will assign the request for processing, and where required negotiation of an amending agreement, once they receive the approved amendment request.;

    * Ensure that all applicable ethics certifications are up-to-date.

  • 3. Change in Award Amount (Decrease in Amount)
    For a decrease in an award amount or early termination, the required processing steps may vary depending on the specifics of the situation. If a Sponsor notifies you that they are decreasing your level of funding or terminating your Project, please forward the notification to your research facilitator immediately. RSO will assess the information provided and assign the file for further processing.
  • 4. Change in Department (i.e. Project Dept ID; the Unit administering the funds)

    Create an Amendment request via the Researcher Home Page, indicate the reason for the change in the "Additional Comments" section, attach confirmation from the current administering unit (i.e. Department and/or Faculty) that they are supportive of the change, and submit the request into workflow for online approval. The online approval will route to the new Department and Faculty. RSO will assign the request for processing once they receive the approved amendment request.

    * Ensure that all applicable ethics certifications are up-to-date.

    Note: If multiple Projects are being changed, contact your research facilitator for guidance.

  • 5. Change in Principal Investigator

    Sponsor approval is required for changes to the Principal Investigator. Depending on the original terms of the funding, a formally signed agreement amendment may be required.

    Please create an Amendment request via the Researcher Home Page, indicate the reason for the change in the "Additional Comments" section, attach the Sponsor approval, and submit it into workflow for online approval. RSO will assign the request for processing, and where required negotiation of an amending agreement, once they receive the approved amendment request.

    * Ensure that all applicable ethics certifications are up-to-date.

  • 6. Change in Project Holder

    In cases where the Project Holder is being changed, but the Principal Investigator isn't, Sponsor approval is generally not required. For changes in Principal Investigator please refer to the "Change in Principal Investigator" section above.

    Create an amendment via the Researcher Home Page, indicate the reason for the change in the "Additional Comments" section, and submit the request into workflow for online approval. The online approval will route to the new Project Holder and their Department and Faculty. RSO will assign the request for processing once they receive the approved amendment request.

    For changes tied to a Chair, Dean, and/or Director please send an email request to your research facilitator with the name and employee ID (emplid) of the new individual and an effective date for the change. Your RF will review the request and be in touch re: next steps.

  • 7. Add/Remove Sponsor
    Create an Amendment request via the Researcher Home Page, indicate the reason for the change in the "Additional Comments" section, attach any supporting documentation, including Sponsor's written approval, and submit the request into workflow for online approval. RSO will assign the request for processing once they receive the approved amendment request.
  • 8. Other
    This selection should be used for Amendment types not noted above. Create an Amendment request via the Researcher Home Page, indicate the reason for the change in the "Additional Comments" section, attach any supporting documentation and submit the request into workflow for online approval. RSO will assign the request for processing once they receive the approved amendment request.

Summary of requirements:

Type of Amendment

Written Sponsor (internal or external) approval required

Dept/Faculty approval required?

Form to be used

Change of Project End Date

Yes

Yes, obtained online via workflow

Amendment Request via Researcher Home Page

Change in Award Amount (Increase in Amount)

Yes

Yes, obtained online via workflow

Amendment Request via Researcher Home Page

Change in Award Amount (Decrease in Amount) and/or an Early Termination

Yes

No

Not required for most situations. Contact your research facilitator for guidance.

Change in Project Department

No

Yes, obtained online via workflow

Amendment Request via Researcher Home Page

Change in Principal Investigator

Yes

Yes, obtained online via workflow

Amendment Request via Researcher Home Page

Change in Project Holder (see below for changes to Chair, Dean or Director)

No

Yes, obtained online via workflow

Amendment Request via Researcher Home Page

Change in Chair, Dean, or Director

No

Required approvals obtained via email confirmation sent to the research facilitator that the individual has changed

List of Projects and effective date sent via email to your research facilitator

Add/Remove Sponsor

Yes

Yes, obtained online via workflow

Amendment Request via Researcher Home Page

* RSO will be unable to finalize an amendment unless ethics certifications are up to date.

For further assistance with amending a Project, please contact your research facilitator.

Changes to Canadian Foundation for Innovation (CFI) and CFI-related projects should be discussed as early on in the project as possible with either Kara Allanach, manager, Institutional Projects (phone 780-492-8936 or email kara.allanach@ualberta.ca) or Nancy Klimczak, assistant director, Partnerships and Institutional Projects (phone 780-492-1452 or email nancy.klimczak@ualberta.ca).