Amendments

Summary of Requirements

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 the RAS at rsoinfo@ualberta.ca if you need to amend a submitted request.

Step by step instructions to Create An Amendment through the Researcher Home Page.

Note: RAS will be unable to finalize an amendment unless ethics certifications are up-to-date.

Summary of Requirements

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. RAS recommends starting this process 3 months in advance of the end date to allow sufficient processing time for both the sponsor and RAS.

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. Once they have received the approved amendment request, RAS will assign the request for processing, and, where required, negotiation of an amending agreement.

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 rsoinfo@ualberta.ca.

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, RAS needs 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. Once they receive the approved amendment request, RAS will assign the request for processing, and, where required, negotiation of an amending agreement.

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

Change in Award Amount (decrease in amount) and/or Early Termination

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 rsoinfo@ualberta.ca immediately. RAS will assess the information provided and assign the file for further processing.

Change in Department (i.e., project dept ID or 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., the 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. RAS 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 rsoinfo@ualberta.ca for guidance.

Change in Principle 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. Once they receive the approved amendment request, RAS will assign the request for processing, and, where required, negotiation of an amending agreement.

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

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

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. RAS 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 rsoinfo@ualberta.ca with the name and employee ID (emplid) of the new individual and an effective date for the change. RAS will review the request and be in touch regarding next steps.

Change in Chair, Dean, or Director

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 the sponsor's written approval, and submit the request into workflow for online approval. RAS will assign the request for processing once they receive the approved amendment request.

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. RAS will assign the request for processing once they receive the approved amendment request.