Home | Process | Execute Project

Items are color-coded as to who is responsible. Maroon for ORSPA responsibilities, Gold for Unit responsibilities, and Grey for PI responsibilities that cannot be delegated to RA staff.

• ORSPA • Unit • PI

This involves post award project management from planning, financial management, monitoring progress, change requests through deliverables and end of obligation.
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1. Initiate project WI-EP-10 • •

This work instruction contains the following sections:

  • Create project plan
  • Project plan outlines
  • Detailed hiring plan

2. Account monitoring WI-EP-60 • •

This work instruction contains the following sections:

  • Training needs
  • Account monitoring
  • Allocation of costs between interrelated projects
  • Cost transfers
  • Non-payroll cost transfers
  • Payroll redistribution (payroll cost Ttansfers)
  • FY18 and before
  • FY19 and beyond
  • ERE redistribution (power redistribution)
  • Spending on the account
  • Developing good business purposes for transactions
  • Payroll and/or stipends
  • Non-payroll expenditures
  • CAS exceptions
  • Expense advances
  • PI oversight of fiscal and programmatic performance
  • Documenting cost sharing
  • Making changes to cost sharing commitments
  • After-the-Fact Review Report
  • Obtaining Workday and p-card overrides
  • Complete and track variances to project plan
  • Complete and submit deliverables
  • Preparation for end of obligation
  • Principal investigator
  • Unit/administrator

2B. ORSPA account monitoring WI-EP-70 •

This work instruction contains the following sections:

  • Processing Cost Transfers (Payroll and Non-Payroll)
  • Approving documents sent from ASU Accounts Payable
  • Unit F&A reconciliations and adjustment requests
  • Documenting cost share
  • Reconciling consortium sccounts

3A. Manage change WI-EP-130 • •

To initiate project changes: 1) identify what is required to complete the deliverable(s), 2) complete an Award Change Request in ERA. To complete the Award Change Request, follow the Work Instructions below in conjunction with the ERA Award Change Request page.

For the additional of funds (supplements, non-competing continuations, and incremental funds, do not use the ERA Award Change Request. Refer to Develop Proposal Work Instruction – Determine Proposal Type for instructions.

Note: For NSF projects where the change request can be initiated in Research.gov, the ERA Award Change Request is also required. For additional information about when an ERA Award Change Request is needed for NSF actions, see the related NSF Job Aid.

3B. Review change request and prepare package WI-EP-140 •

This work instruction contains the following sections:

  • Review change request
  • Obtain sponsor approval/notification
  • Process sponsor modification documents
  • Execute an ERA modification
  • Process sponsor modifications – AD procedure
  • Review CAS exception
  • Review request for representations and certifications
  • Review additional pay web form
  • Review interrelated projects forms
  • Manage award work suspension
  • Review allowance request
  • FOT GCO procedures
  • AMT GCO procedures

4. Cost share funding WI-EP-45 •

Locally-funded cost share companion accounts are generally funded on a semi-annual basis in January and July. For guidance on state-funded cost sharing companion accounts, please go here. The following sections detail how to process cost share funding:

  • Generate report
  • Communication
  • Processing journals
  • Refunds

5. Letter of credit draw WI-EP-30 •

This work instruction contains the following sections:

  • Purpose and introduction
  • Procedure

6. Submit invoice and reports WI-EP-110 •

To define the standard process for preparing fiscal and non-fiscal invoices and reports by the Office of Research and Sponsored Projects Administration. The following work instructions and related job aids define the standard business process. Any deviations from any of these processes need to be summarized on the supporting backup documentation. The expectation is that all interim invoices and reports are submitted by the sponsor’s due date. The Team Lead should be promptly notified in the event circumstances arise which prevent an interim invoice or financial report from being submitted on-time.

  • Monthly fiscal deliverables
  • Intellectual property reports
  • Audit information requests
  • Subrecipient Information Form for Subawards Issued to ASU

7. Monitor and pursue collections WI-EP-40 •

This work instruction contains the following sections:

  • Receiving and depositing payments
  • Prepare EFT transactions on a daily basis
  • Prepare check and cash deposits
  • AR collections
  • Interest earnings on investment program income accounts