Sponsor Requests Prior to the Award

Further Documentation
Many changes can take place between the time a proposal is submitted and a sponsor reaches a funding decision. Often, sponsors will request updated documents before issuing an award. NSF, for instance, may request that updated documents be uploaded into FastLane to address such changes.

NIH uses a "just-in-time" procedure to collect documents not submitted with the original proposal but that they require prior to issuing the award. These documents will include other support (current and pending), certification of IRB approval, verification of IACUC approval, and evidence of compliance with the education in the protection of human subjects requirements. At JIT, a detailed budget should be submitted for Modular Budgets. ORS will coordinate with the department to request copies of the relevant documents from the PI and co-PIs.

Revising the Proposed Budget for the Sponsor
When sponsors decide to fund a project below or above the requested budget level, there are several possibilities:

  • Some sponsors will simply make the award at the new amount and expect the PI to make any necessary adjustments. The PI must prepare a revised budget and submit it to ORS before the award can be processed and spending initiated.
  • Some sponsors will prepare a revised line item budget and make it part of the award.
  • Most often, the sponsor will contact ORS or the PI and request a revised budget for the new amount before making the award. This revised budget must be reviewed and approved by ORS before submission to the sponsor.

If the award amount differs less than 5% from the original proposed amount, ORS will make the revisions and process the award. If the award amount differs greater than 5% from the original proposed amount, then ORS will request a revised budget from the department. Depending on the complexity of the budget, ORS will give the department either 10 or 30 days. If the department fails to respond within the specified time frame, then ORS will complete the budget revisions and process the award. ORS will assume that effort remains the same as proposed and the department will need to fill out a Rebudgeting / CAS (ReC) form to make any further changes. Access the form through Duke @ Work.

If the reduction is significant (25%), the PI may not be able to carry out the project as originally intended. If this is the case, it is appropriate to submit a revised statement of work to the sponsor along with the revised budget figures.