Section 5: Modifications
Anchor: #i1002401Overview
Article 8 of the CRIA contains provisions for amending executed Project Agreements. These amendments are commonly termed “Modifications” . Modifications to a Project Agreement can only be executed while that agreement is active, and must be executed before work authorized by the Modification is performed.
All changes to the terms of a Project Agreement are documented on a Modification form and executed by all parties to the original agreement. Examples of common Modifications are listed below under “When a Modification is Required” and discussed in detail in RTI’s University Handbook.
Documents and communications that clarify, rather than change terms of the agreement, are not considered Modifications. Neither are communications that provide current status information, or an update to estimates in a Project Agreement, but do not fundamentally change the terms of the agreement. All such communications should be in writing, and may require concurrence from the Project Director, but need not be submitted on a Modification form. Some examples are listed below under “When a Modification is NOT Required.”
Anchor: #i1002426Requests for Modification
The need for a Modification may become apparent in several different ways. Two primary places are in progress reports or project meetings.
However the need becomes known, RTI evaluates the information, coordinates within TxDOT to obtain whatever approval is required, confirms that funding is available, if needed, and then requests that the university submit a Modification. Unsolicited Modifications are not accepted from universities.
Anchor: #i1002441When a Modification is Required – Examples
A Modification, executed by all parties to the agreement, is required to:
- change the total project budget,
- change an agency’s annual budget or indirect cost rate,
- change the Research Supervisor,
- change the work plan, including changes in technical objectives, project scope, or tasks,
- extend the project’s termination date,
- add or remove any item from the Deliverables Table, or
- change the due date for any item on the Deliverables Table.
When a Modification is Not Required – Examples
A Modification is not required to:
- change a researcher who is not the Research Supervisor (requires PD concurrence, coordinated through RTI),
- update the status or clarify an entry on the Deliverables Table (updated Deliverables Table may be submitted to RTI, RTI will evaluate the need for PD concurrence),
- update the Schedule of Research Activities without adding or deleting tasks or changing the duration of the project (updated Schedule of Research Activities may be submitted to RTI, RTI will evaluate the need for PD concurrence), or
- update Exhibit A to move funding between line items.
Modification Form
A standard Modification form, requiring signature by all parties to the original agreement, is used for all Modifications. Most items on the form parallel items on the Cover Page of a Project Agreement, and are self-explanatory.
Language on the Modification signature page must either specify the new contract terms, or must list and incorporate by reference all documents attached to the Modification. The previous terms in the Project Agreement will remain in effect for any portion of the Project Agreement not listed on the Modification signature page as being changed.
Modifications to work tasks or deliverables must list all work tasks or deliverables affected on the Modification signature page. If the signature page does not list a specific work task or deliverable for which an attachment is included, the previous terms in the Project Agreement will remain in effect.
Modifications to budget amounts must list all project budgets being affected on the Modification signature page, including annual and total project budget amounts. If a change to the total project budget is not specifically stated on the signature page, the previous total project budget will remain in effect.
RTI’s University Handbook discusses Modifications in more detail. It also provides example language for many common situations.