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CHAPTER 5-220

AMENDMENTS AND POST-AWARD CHANGES FOR A REGULATORY GRANT

5-220-00 What does this chapter do?

5-220-10 Where do these requirements come from?

5-220-20 When can you request changes to your grant?

5-220-30 What changes require a grant amendment?

5-220-40 What is the process for a grant amendment?

5-220-50 What changes can you request in writing that require our approval?

5-220-60 What changes do not require our prior approval?

5-220-00 What does this chapter do?

This chapter explains the requirements to consider when you need to make programmatic or 

budget changes to your regulatory assistance agreement. It describes which changes require our 

approval, how you should request approval, and how we will process your request. This 

information applies to all regulatory program grants and cooperative agreements awarded by us, 

the Office of Surface Mining Reclamation and Enforcement (OSMRE).

5-220-10 Where do these requirements come from?

The requirements for prior approvals for changes to assistance agreements are established in the 

Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal 

Awards, 2 CFR 200, subpart D.

5-220-20 When can you request changes to your grant?

A. If your change requires our written approval, you must request the change and receive

our approval before you make the actual change or obligate any funds. If you incur costs

before we approve the change, you take the risk that the cost may be unallowable.

B. We will not approve a request for a change, including time extensions or additional

funding, which we receive after the scheduled expiration date of the assistance

agreement. The only exception is if there are unforeseen circumstances not under your

direct control. You must justify the extenuating circumstances to the satisfaction of our

authorized awarding official.

C. You should send us a request to extend the performance period at least 30 days before the

date it is scheduled to end. We will approve only one extension of the normal

performance period for not more than one year, unless you adequately justify special or

unusual circumstances to the authorized OSMRE official.

5-220-30 What changes require a grant amendment?

The following changes require a formal amendment to the approved agreement:
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A. Extending or shortening the performance period

B. Adding more funds

C. Deobligating unneeded funds before the end of the performance period.

D. Transferring any funds between construction and non-construction if the agreement has 

both construction and non-construction activities.

5-220-40 What is the process for a grant amendment?

A. An amendment may be initiated by either you or us. However, both parties must be in 

agreement with the amendment terms.

B. You may mail or e-mail your amendment application. The amendment application must 

include the following items: 

1. Signed or approved form SF 424, indicating in item 8 the type of change you are 

requesting.

2. A program narrative explaining and justifying the requested change. You may 

use the optional OSMRE 51 form, include the explanation in your transmittal 

letter, or use another format of your choice.

3. If you are requesting a budget change, provide revised budget information. You 

may use the optional OSMRE 47 form or another format of your choice.

C. We will process amendments in the same way as new agreements (5-210). We will 

approve or disapprove your amendment request within 30 days of receiving it. We will 

notify the Office of Communications for Congressional and public announcement only 

when the amendment will increase funding by more than $100,000.

D. The amendment takes effect when approved by the authorized OSMRE official and 

applies to the entire agreement period unless otherwise stated. We will notify you when 

we have approved the amendment action in our electronic grant system and we will send 

you the appropriate documentation. 

5-220-50 What changes can you request in writing that require our approval? 

A. Some changes to the approved agreement require OSMRE prior approval, but do not 

require a formal amendment. The following changes are considered revisions to an 

approved agreement and must be requested and approved in writing: 

1. A change in the scope of the program requires our formal written approval even if 

there is no other change in the agreement or budget. A scope change is any 
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change in the objectives of the program or the work to be performed that is 

outside the plans approved in the original grant and that has the potential to affect 

the success of the program. For example, contracting out permitting or inspection 

and enforcement functions would be a scope change. 

2. If OSMRE funding is over $100,000, you must request our approval before or 

when you transfer a cumulative total of more than 10% of the total budget 

between direct cost categories.

3. Office of Management and Budget (OMB) Cost Principles (2 CFR 200) say that 

some cost items are allowable only if we approve them in advance. Equipment is 

one of these cost items. If you need to incur such costs and we did not approve 

them when we approved your original application, you must request our approval. 

B. To request our approval, you must mail or e-mail a letter requesting the change to our 

awarding office as soon as you determine you need it. Your request must explain and 

justify the proposed change. If the proposal changes the budget, your request must 

identify these changes.

C. Our awarding office will notify you in writing whether or not we approve your request. 

We will send the decision letter no later than 15 days after we receive your request. If the 

request is still under consideration at the end of 15 days, the awarding office must inform 

you in writing when a decision on the request may be expected and the reasons for the 

delay.

5-220-60 What changes do not require our prior approval?

A. Principles in 2 CFR Part 200 describe the changes which require prior agency approval. 

OSMRE may not require prior approvals for any other change. 

B. Programmatic changes other than major scope changes, such as reorganizations, changes 

in office locations, or new administrative or accounting systems do not require a formal 

amendment. However, you should advise us of these changes.

C. Budget transfers that are less than 10% of the total grant amount, or for grants with less 

than $100,000 in OSMRE funds, do not require our approval. Also, if you have 

previously transferred 10% of costs with our approval, you may transfer up to an 

additional 10% of the budget without another OSMRE approval. However, you should 

document such transfers by including revised budget information with your next 

performance and financial reports.