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Compliance protocols MUST be approved and linked in SeRA to a SPO project record prior to award acceptance. 

See ORA's Award Acceptance Resources for additional information.

Modifying an Existing Subaward

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Modifying an Existing Subaward

Subaward agreements routinely need to be updated or modified for several reasons. Below is a list of common circumstances where a subaward requires a modification. This is not a comprehensive list; other circumstances may require a modification. Please contact your CGO or CGA for questions or guidance.

Types of Modifications

Addition of time to the period of performance

Frequently referred to as an extension or no-cost extension if funds are not also awarded

Addition of funding to the agreement

From the prime award as part of an additional budget period or supplemental funding

Reduction in funding

Deobligating funds previously awarded, partial reduction or full reduction

Authorization of Carryforward

For projects with non-automatic carryforward, agreements will need to be amended to approve carryforward requests

Alteration of contractual terms and conditions

Administrative amendment to change terms of the agreement as necessary

Revision of the statement of work (SOW)

If there is a change to the scope of work on the project or the work plan that requires prior approval

Early termination

Ending a subaward agreement prior to the current end date; this requires written notification 30 days prior to the new end date

Rebudgeting Approval

If prior approval is required for subrecipient budget changes, we will need to authorize the new budget in an amendment

PI Change

Changes to subrecipient PI must be approved by SU and an amendment issued to authorize the change

Upload the following documents to the change order requisition if they have been updated since the original subaward agreement, or if they are directly impacted by the modification request. 

  • Statement of Work (SOW)
  • Budget and Budget Justification (to match change order exact amount to the cent)
  • Documentation of prior approvals from the prime sponsor
  • Other supporting information as needed or requested

A contractual amendment and reapproved purchase order are required prior to paying invoices with costs subject to the modifications in the amendment. For example, the amendment to extend a subaward agreement is required prior to paying invoices for costs incurred after the previous end date.

Prior Approval

For modifications that require prime sponsor approval, seek approval prior to submitting a change order requisition. Documentation of the prime approval will need to be uploaded to the requisition.

Use a SeRA Central Office Request to request a prior approval authorization from the prime sponsor. Please provide any documentation required for the prior approval with your request form.

Change Order Requisitions

To request an amendment or a PTA change for a subaward agreement, you will need to initiate a Standard Change Order-Subaward requisition in iProcurement.

A dollar amount should be used on the line-item only when adding new funds to the agreement. For non-monetary, funding reduction, and PTA change transactions, please enter a line-item amount of $0.01 in the change order requisition.

iProcurement Requisition Transaction Type

Use this type when…


Reducing the amount of funding previously authorized


The agreement needs to be terminated ahead of the current end date

Money Only

Only adding funding to the agreement


The amendment to the agreement will be accomplishing more than one type of modification, or if authorizing carryforward

No Cost Extension

Only adding time to the agreement


All other modifications, including PTA changes

Time and Money

Adding both time and funding to the agreement, including annual continuation funds for multi-year awards

Modifications & Invoice Processing

There are a few important items to note regarding invoices and subaward agreement modifications.

  • When a Subaward Change Order requisition is submitted, the associated purchase order is reopened. This prevents Accounts Payable from processing any pending and/or new invoices until the purchase order is reapproved.
  • Prior to submitting a Subaward Change Order requisition for additional time, the department administrator should confirm in Oracle that all invoices for the prior period have been received, reviewed, uploaded for payment, and paid.
  • Late payments to subrecipients from a closing budget period may require the reissuance of financial reports.
  • If an invoice for the new budget period is received prior to the issuance of the extension or continuation amendment, place those invoices on hold until the amendment is complete, and the purchase order reapproved.

PTA Changes

For PTA change requests, please ensure there is enough outstanding commitment on the specific line you want to shift funding from before submitting the PTA change request requisition.

  1. Log in to Oracle Financials
  2. Click on SU Inquiry Tools and Forms
  3. Click on Requisition and Purchase Orders Query
  4. Search by the Purchase Order Number
  5. Scroll down and click on Show Commitment
  6. An additional column will show the Outstanding Commitment (unspent funds)

Carryforward Authorization

A modification to allow carryforward is not required for subawards with automatic carryforward noted in the subaward agreement.

A modification to allow carryforward is required for subawards where carryforward is non-automatic, or restricted, either due to sponsor limitations or Stanford requirements.

To authorize non-automatic carryforward for the subrecipient,

  • Once you have received carryover authorization from the Sponsor (if carryover is restricted by the sponsor), a Standard Change Order - Subaward requisition must be submitted in iProcurement (receiving authorization to carryover from the sponsor will not automatically flow down to the subrecipient, a contractual amendment is required)
  • The dollar amount of the requisition should be $.01 since the funding is already committed to the Purchase Order and is being moved, not added
  • The description on the requisition should note that the request is for carryover, the amount to carryover, and the period the funds are being carried over from
  • The sponsor authorization for carryover should be attached to the requisition
  • Check the Requisition and PO Query commitments to ensure the amount requested for carryover is available on the PO for the year you are authorizing 
  • Consult the Amendment Subaward Requisition Submission Checklist for more information

Once the subaward amendment is fully executed, funds will be moved within the Purchase Order to allow funding to be spent in the current year. This movement of funds on the Purchase Order only occurs when the funds must be moved across different PTA's.

If the restriction is internal, the amendment to allow the carryover of funds is still required to authorize the subrecipient to carryover, but funding will not be moved due to all funding residing on the same PTA.