Document Expenses

Last updated: 02/01/2019 - 11:32am

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Document Cost Sharing

How should non-exempt and hourly employees be documented?

1.  Identify the non-exempt and hourly employee(s) contributing effort to the project
 
2.  Prepare a memo containing the following criteria:

  • Account number for the main project account
  • Full Name and  ASU Affiliate ID number
  • The hourly rate for the employee (s)
  • The number of hours contributed by employee(s)
  • Time period  for the contributed time
  • Brief explanation on what the employee did that benefited the project
  • Certification the contributed effort for the employee is allowable and was incurred during the project period
  • Printed on departmental letterhead.
  • PI’s signature

3.  Scan the signed memo to PDF and email to unit’s assigned AMT GCO

How is unpaid summer effort documented?

1)   For faculty, the PI will be required to submit a letter to ORSPA which includes:

  • Account number for the main project account
  • Full Name and ASU Affiliate ID number
  • The period of time worked
  • The percent of effort devoted
  • The dollar value of the contributed effort
  • Brief explanation on what the employee did that benefited the project
  • Certification that the contributed effort is allowable and was incurred during the project period
  • PI’s signature

2)  Scan the signed memo to PDF and email to unit’s assigned AMT GCO.

How is volunteered effort documented?

Departments should prepare a Volunteer Sign-In Sheet for which volunteers can log the number the # of hours worked, the dates on which the volunteer work occurred and their signature.  The department should submit the sign-in sheet with a cover letter, prepared on department letterhead and signed by the PI, which includes the following information:

  • Account number for project on which volunteer services are being incurred
  • Brief description of the volunteer work performed
  • Brief justification of how the volunteer work benefited the project
  • Reasonable hourly rate for volunteer hours

Email PDF copy of letter and volunteer sign-in sheet to assigned AMT GCO.

How should Non-Personnel Cost Sharing be documented?

Normally, cost share companion accounts are setup to direct-charge cost sharing expenses to but in some cases non-personnel cost sharing must be documented via certified memo and 611E-W Web Report.  The procedures below should be followed when tracking this type of cost sharing.
 
1. Identify the department (non-sponsored) account where the non-personnel cost share expenses were charged to.

2. Open the 611E Web Report for the account identified in step 1 covering the period in which the cost sharing

3. Using the Adobe Acrobat Highlight Text Tool, highlight the cost share expenses on the PDF copy of the 611 E Web Report.

4. Total the highlighted cost share expenses.

5. Using the Adobe Acrobat Typewriter tool, on the last page of the 611 E Web Report, type in the Total Cost Sharing expenses.

6. Save Report.

7. Prepare a memo for the PI with the following information:

  • Account number for the main project account
  • Total amount of cost share documented on 611 E Web Report
  • Brief explanation of what the cost share expenses are and how they supported the project
  • Certification the cost share expenses identified on the cost share report are allowable project expenses and were incurred during the project period
  • Signature area for the PI
  • Print memo on department letterhead

8. Obtain the PI’s signature on the memo.

9. Scan the signed memo into a PDF document.

10. Merge the PDF of the memo and 611 E Web Report into one document using “Insert Pages” function within Adobe Acrobat.

11. Email the PDF document to the assigned AMT GCO.

How should Third Party Cost Sharing be Documented?*

The third party cost sharing certification form provides the means for obtaining confirmation that the commitments made by the third party have been contributed as outlined in their commitment letter.
 
If the third party defaults on the commitment or otherwise does not turn in the certifications necessary, the department will be responsible for meeting the cost sharing obligation. Therefore, departments are strongly advised to be diligent in collection of the certifications during the project timeframe.
 
1. Begin by preparing a cover letter to the third party. This letter should include:

  • The name of the principal investigator
  • The sponsoring agency’s name
  • The project title
  • The project period’s start and end dates
  • The total amount committed by the third party
  • The amount certified to date
  • Amount remaining to be certified
  • Statement which reminds the third party that all cost sharing must incur within the project period

2. Complete the first two lines of the third party cost share certification form.
 
3. Send the cover letter and partially completed certification form to the third party’s contact, preferably via email.
 
4. Follow up as necessary to ensure the form is returned by the date requested.
 
5. Save a copy of the signed form for the departmental file.
 
6. Send signed, completed form to the department’s assigned AMT GCO. Faxed or pdf copies of the form are acceptable.

*Note:  For ASU Foundation funds provide the account number and the ASUF equivalent of a 611E web report.   

How is non-federal sponsored project cost sharing Documented?

This form of cost share should rarely be used because most projects are funded based on a specific scope of work.  Although, it is possible for two awards to have interrelated scopes of work therefore could be used as cost share.  For a sponsored project to be used as cost share for another project, the following criteria must be met: 1) the sponsor is non-federal; 2) the award notice contains no language that limits the use of grant funds to support another sponsored project; and the last but most important criteria, 3) the proposal and scope of work clearly indicates both projects are interrelated. 

For non-federal awards, that meet these criteria, the RA should prepare a letter with the following items:

  •  Non-federal sponsored account number
  •  Sponsored account number for award requiring cost share
  •  Certification that the above listed criteria have been met.
  •  Brief explanation justifying how the projects are interrelated.
  •  Printed on department letterhead
  •  PI Signature

The letter should be emailed to their assigned AMT GCO for review.  The AMT GCO will determine of the non-federal sponsored project can be used as cost share for another project.  If approved, the cost share will be documented using the same process as a cost share companion account.

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