Responsibility: Unit-PI
Prepared by: RAS
Work Instruction Number: WI-AS-01
Purpose
Provide guidance to units on:
- Sending award agreements to PNT or IAG for negotiation and signature
- Requesting a Pre-Award At-Risk Account
- Processing Award Modifications
- Making requests for Post-Award changes
Request to negotiate and execute award agreement
When a unit RA receives an award agreement that requires negotiation and signature by PNT or IAG, the RA will send the draft agreement to PNT/IAG by using one of the three following methods (1, 2, or 3):
1. Forward the agreement to [email protected] (for Federal, local government, non-profit, etc. sponsors) or [email protected] (for Industry sponsors)
- PNT/IAG will create an ERA Agreements Task
2. Use the Notify PNT activity within the ERA funding proposal site to send a copy of the agreement to the Proposal GCO
- The Proposal GCO will create an ERA Agreements Task
3. Create a Task Request in ERA Agreements
Note: For Charitable Grants where the ASU Foundation (ASUF) is the grantee institution, follow the Working with ASUF Post-Award instructions.
Request for Pre-Award At-Risk Account
Please note: ORSPA does not typically approve pre- or post-award at-risk requests for consortia, contract awards, industry funding, or outgoing subawards. This is due to the non-financial risks to the University in addition to increased financial risks. If an exception may be warranted, discuss it in advance with your Proposal GCO and the Contract GCO assigned to negotiate the award agreement.
Projects that require an account prior to an award may request a pre-award at risk account, via ERA, for time and funding to begin work in a timely manner. Such requests should only be made when the PI has been assured that an award is coming, preferably in writing. To initiate an at-risk request, the unit will need to:
1. Complete ASU Pre-Award At-Risk Request Form following the instructions included within the form.
2. Secure PI Authorization. The PI can provide the approval for the request by providing a digital or physical signature on the ASU At-Risk Request Form.
3. Verify Award Status. Requests must include backup documentation showing the sponsor’s intent to fund. Use the At-Risk Documentation Matrix included in the ASU At-Risk Request Form to determine appropriate support documentation for your request.
4. Submit Request in ERA. Pre-Award At-Risk Requests should be submitted in ERA using the following process:
4.1 Log in to ERA with ASURITE and password.
4.2 Locate the Funding Proposal (FPXXXXXXXX) for which you want to submit an at-risk request.
4.3 From the Funding Proposal site, select the icon action to open a new window.
4.4 In the new window, complete the fields as follows:
- Send Notifications To: Select GCO Reviewer (Proposals)
- Indicate the Required Document Review: Select Other
- Enter Review Comments: Indicate this is a request for an at-risk and include any relevant information not captured in the required attachments.
4.5 Attach the following documents as a single PDF:
- Complete ASU At-Risk Request Form
- Agreement Verification Documentation
4.6 Hit OK to submit.
NOTE: to be able to execute the Notify PNT action for a particular Funding Proposal in ERA, the user must: 1) Have the RA role in ERA; and 2) be the RA owner for the Funding Proposal site. Please see the Systems Access page for more information.
Routing of notices of new award or award modification
At times, a sponsor will send the Notice of Award (NOA) or Award Modifications directly to the PI or RA. In those instances, units should follow the process listed below depending on the applicable scenario:
- New Award where ASU-ORSPA will be the grantee: From the Funding Proposal site in ERA, select the “Notify PNT” action and upload the NOA and any other documents received from the sponsor.
- New Award where ASUF will be the grantee: The notice should be sent to [email protected] (See Working with ASUF > Post-Submission/Post-Award).
An Award Modification provides additional funding: Refer to the Additional Funds for a Sponsored Project page to determine if a new Revision or Renewal funding proposal (FP) is needed. If you determine that a new Revision or Renewal funding proposal is not needed, proceed with an ERA Award Change Request.
Request for Post-Award Changes
An Award Change Request should be completed in ERA when submitting award change requests to AMT.
General Inquiries
For general inquiries regarding award change requests and account setup tasks, units are encouraged to check their Dashboard in ERA. Alternatively, units can email the GCO assigned to the task. If a GCO is not yet assigned to the task in ERA, reach out to your Customer Service Liaison. To help AMT properly respond to your question in a timely manner, your email should contain the following information:
- Proposal number, account number or ERA award number
- Detailed explanation of issue