Additional Funds for a Sponsored Project

Last updated: 03/19/2019 - 4:23pm

An ERA Proposal is required each time an existing award is modified for additional funding.

 

Step 1: Determine ERA FP Type

When applying for additional funding, or when processing a sponsor-initiated award modification that increases funding on an award, refer to the following definitions to determine the appropriate ERA FP type:

ERA FP Type

ASU Definition

Renewal

Additional funds to continue an existing project under a new, separate award.

Revision

Award modification to add funding directly to an existing award. For example:

  • Application for additional funds to a current award (i.e. supplement requests, continuations).
     
  • Sponsor-initiated modifications to add funds to a current award

Note:  The above definitions are used for purposes of entering data into ASU's ERA.  RA's should be careful to complete the external application packet in accord with the sponsor's proposal type and instructions.

 

Step 2: Process an ERA FP

It is critical that Revision and Renewal proposals be created by navigating to the original awarded proposal and clicking the button for the appropriate ERA FP Type - either  or .

  • Note: These buttons are only available to the current RA Contact. To change the RA Contact on an ERA FP site, run the  activity.

Once a Revision or Renewal proposal has been created, the RA will navigate to their My Inbox to locate the new Revision or Renewal proposal. The RA will review each SmartForm in the ERA FP, make updates as needed, and complete the proposal process by following the appropriate work instruction as outlined below:

Scenario

Applicable Work Instructions

Applicant-initiated Request for Additional Funds

Follow steps 2-20 of the Full Proposal work instructions

Sponsor-initiated Award Modification with Additional Funds

Follow step 1, and steps 3-13 of the After-the-Fact Proposal work instructions

 

The ERA Funding Proposal Guide provides information to assist with review/completion of the SmartForms, including:

 

FP 1.1 PROPOSAL DESCRIPTIONS & CONTACTS

USE OF SPONSOR, PRIME SPONSOR AND SUB-AGENCY FIELDS

FP 1.2 GENERAL PROPOSAL INFORMATION

FP 1.2.1 LEAD UNIT, INVESTIGATORS & ALLOCATIONS

FP 1.3 COI SUMMARY INFORMATION

FP 1.4.1 FUNDING OPPORTUNITY ANNOUNCEMENT (GRANTS.GOV SUBMISSION)

FP 3.2 FUNDING OPPORTUNITY ANNOUNCEMENT

FP 1.4.2 FUNDING OPPORTUNITY ANNOUNCEMENT (NON GRANTS.GOV SUBMISSION)

FP 4.1 SUBMISSION DATES & DELIVERY INFORMATION (GRANTS.GOV)

FP 4.2 SUBMISSION DATES & DELIVER INFORMATION

FP 7.0 PERFORMANCE SITES

FP 8.1/8.2/8.3

FP 8.1 RESEARCH PLAN AND REFERENCE ATTACHMENTS (NON PHS/NSF)

FP 8.2 RESEARCH PLAN ATTACHMENTS (PHS)

FP 8.3 RESEARCH PLAN ATTACHMENTS (NSF)

FP 9.1/9.2 COMPLETION INSTRUCTIONS

 

For ERA system questions, contact ERA@asu.edu or (480) 965-9065, Option 0. For process or policy questions, contact RAhelp@asu.edu.

 

Frequently Asked Questions (FAQs)

 

1. What is included in the definition of additional funds?

Funds requested and/or received in support of an active sponsored project, including supplements and continuations not part of the original award.

 

2. What is the difference between a Revision and a Renewal in ERA?

For ease of processing, a Revision (Supplement) proposal should be created for any additional funding being added to an existing award. A Renewal proposal should be created if/when it is anticipated that the sponsor will send a new, separate award.

The  button copies the FP SmartForm entries from the original proposal AND uses the same FP number, with a _Rev suffix added (e.g., FP00013040_Rev1).

The  button copies the FP SmartForm entries from the original proposal, but assigns a new FP number. The ERA FP site will have the word “Renewal” at the top, and should signify that there is a relationship between the Renewal proposal and the original proposal. (Note: A proposal can also be copied using the  action. The Copy Funding Proposal action is best used when the two FPs are not related.)

 

3. Who processes proposals (including applications for additional funding)?

Pre-Award Services processes all proposals including revision and renewal proposals. ERA Funding Proposal is initiated by the unit. Renewal and Revision proposals may be managed by either Pre-award or Post-award Research Advancement (RA) staff, depending on how the unit has chosen to manage the process.  Research Operations will assign a Proposal Grant and Contract Officer (“Proposal GCO”) to the ERA proposal site. The RA will work with the Proposal GCO to complete the proposal process (outlined in the Create and Route Funding Proposal work instructions and ERA Grants Funding Proposal guide).

Note that current ASU Facilities & Administrative (F&A) rates and policies apply to all types of new money being awarded to ASU. If questions arise regarding the appropriate F&A rate for a specific proposal, the RA will consult with assigned Proposal GCO.

 

4. Why was the revision/renewal process changed?

This change in process allows ASU to capture all funds from sponsors in the ERA Grants module. This change promotes consistency and offers recognition for investigators.  The change eliminates the decision point based on the amount of the new funds, requiring a new ERA FP regardless of whether the additional funding is greater or less than $150,000.

 

5. Can the allocation of REC/RID/IIA on a Revision proposal be different from the existing award allocations?

No. ERA Awards maintains allocations at the Award level – not at the account level. The RA should check the current allocations on the existing award, and prepare the allocation table in the Revision FP to match. If a change is needed to the allocations on the award, the RA will follow WI-EP-130 to prepare, route, and submit an Investigator and/or Allocation Changes (IAC) form to notifications@asu.edu.

 

6. Why are Department Reviews required?

Department Reviews are ASU’s method of complying with the Research and Sponsored Projects Manual (RSP). Department Reviews allow investigators, units, centers, institutes, and colleges the opportunity to: ensure that the data for the unit is captured appropriately, approve personnel effort associated with the additional funding, and approve the commitment of other unit resources (including cost sharing commitments and F&A Waivers).

 

7. For units that consider Revision proposals to be a post-award action, could a post-award FP Approver be included in Department Reviews?

Yes, if desired. Unit-designated FP Approvers are automatically pulled into the Department Review list when the unit is included in the allocations table of a proposal. To add a post-award FP Approver to a unit’s standard FP Approvers, email ERA@asu.edu.

Alternatively, RAs can manually add a post-award FP Approver on a proposal-by-proposal basis, in line with any unit practices in place.

 

8. Can you give me an overview of how a Proposal GCO processes an ATF Revision proposal?

When the Proposal GCO processes an ATF revision proposal, the Proposal GCO will identify if the modification agreement has the same sponsor award number, extends the period of performance, adds money, changes terms and conditions, and/or modifies the scope of work.  

  • If needed, the Proposal GCO will begin an agreement task for contracts review.  A GCO Agreement Reviewer (“Agreement GCO”) will be assigned to process the modification agreement, and the Proposal GCO will continue to monitor the ERA FP site. When both the Agreement Task and the ERA FP are complete, the Agreement GCO will send the agreement to the Award Management Team (AMT).
     
  • When the modification agreement does not need Agreement GCO review, the Proposal GCO will monitor the ERA FP site until the RA has completed the ERA FP process and Department Reviews are complete. When complete, the Proposal GCO will send an email to notifications@asu.edu. This email will include information needed for AMT to complete the process.  AMT will determine if the modification requires further action before the sponsored account is updated (e.g., if the modification must be signed and sent back to the sponsor, and/or if an invoice must be sent to the sponsor).

 

9. When processing a second Revision for the same existing award, should the RA start from the original proposal or from the most recent Revision proposal?

The RA should navigate to the original awarded proposal in ERA and click the Create New Revision (Supplement) button from there. This will prompt ERA to assign a “_Rev2” suffix to the new Revision FP. The same process should be followed for 3rd, 4th, 5th Revisions, and so on – always start from the original, awarded proposal in ERA to create a revision for the associated award. 
 

Note: If a Revision proposal is created by clicking the button from the most recent, previous Revision proposal in ERA, it will generate a “_Rev1_Rev1” suffix instead of “_Rev2”. The “_Rev1_Rev1” suffix is problematic as the proposal number will soon become too long for the data warehouse to manage.

 

10. If a Principal Investigator (PI) or RA receive a modification to an existing award that provides additional funding for a sponsored project, what steps should be taken?

The RA will create a Revision proposal in ERA, and follow the After-the-Fact (ATF) proposal instructions to complete the proposal process.The RA will use the Notify PNT activity to let the assigned Proposal GCO know there is an award, and the Proposal GCO will coordinate review of the award document(s) while the RA processes the proposal.Once complete, the Proposal GCO (or the Agreement GCO, if one is assigned) will notify AMT so that the award modification can be processed.

 

11. AMT receives a modification to an existing award that involves time and/or money only, with no change in scope or terms/conditions AND the Revision proposal has already been processed in ERA, how is this handled?

When the ERA FP exists, and is in the state of “Submitted, Pending Sponsor Acceptance,” then AMT will process the modification and adjust the account.

 

12. What if AMT receives a modification to an existing award that is time and money only, but the ERA FP does not exist?

AMT will send an email to proposalandnegotiation@asu.edu and a Proposal GCO will contact the appropriate RA to start the process. When all proposal actions are complete, the Proposal GCO (or the Agreement GCO, if one is assigned) will notify AMT so that the award modification can be processed.

 

13. What happens if AMT receives a modification to an existing award that involves more than time and/or money (i.e. includes a change in scope, terms/conditions and/or new agreement)?

AMT will send an email to proposalandnegotiation@asu.edu. The Proposal GCO will contact the appropriate RA and the RA will process an ERA FP, working with the Proposal GCO to complete the proposal process. The Proposal GCO will also create an ERA Agreements Task and the Agreement GCO will take the lead in negotiating the award modification.

Once the award modification is fully-executed, the Agreement GCO will notify AMT. If the associated ERA FP is not already in the “Awarded” state, AMT will update the ERA FP.

 

14. What if a modification to an existing award needs to be drafted?

If the ERA FP does not exist, a Proposal GCO will contact the appropriate RA. The RA will complete a Revision proposal in ERA. When all proposal actions are complete, the Proposal GCO will email notifications@asu.edu. The AMT GCO will draft and process the award modification.

 

15. What if only an invoice is needed?

If the sponsor is providing additional funding for a sponsored project and all they need from ASU is an invoice in order to award the new money, the additional funding must be documented in an ERA FP. If the ERA FP has already been completed, AMT will proceed in issuing the invoice. If the ERA FP has not been completed, AMT will send an email to proposalandnegotiation@asu.edu. A Proposal GCO will contact the appropriate RA, and the RA will complete an ERA FP. When all proposal actions are complete, the Proposal GCO will email notifications@asu.edu.

16. Why must Revision proposals be created by clicking the New Revision button?

The  button copies the FP SmartForm entries from the original proposal AND uses the same FP number, with a _Rev suffix added (e.g., FP00013040_Rev1).

The “_Rev” suffix is the key indicator for the Award Management Team (ERA) and ERA Awards, identifying the FP as a Revision to an existing award. The “_Rev” suffix prompts AMT/ERA Awards to pull the Revision proposal, and the associated award modification, into an existing award in ERA Awards. New and Renewal FPs result in a new, separate ERA Award site.


17. What do I do if the original awarded proposal was submitted prior to the launch of the ERA Proposals module?

Contact RAhelp@asu.edu for a determination on handling.


18. What if I still have questions or have an unusual circumstance?

Contact RAhelp@asu.edu for guidance on rare or complex situations where the standard process does not seem to address all aspects.

 

 

KEYWORDS: Additional Funds, New Funds, new money, Supplemental Funds, Supplement, Noncompeting continuation, Noncompeting renewal, Noncompeting continuation/renewal, Non-competitive continuation, Non-competitive renewal, award modification, mods.

 

 

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