Award changes - Research Administration

RA – Modification (routes to PI for approval first), IAC (does not route to AMT), Post-award At-Risk (routes to PNT for approval first)
AMT Students – Sponsor amendment documents received, RA OAFs for awards with Fiscal Delegates
AMT GCO – Corrections, new awards received that are currently on pre-award at-risk status
FOT: CMT – Interest Income budget increases, consortium payments received
PNT: PFG, CFG – Fully executed (FE) sponsor amendments
IAG – FE sponsor amendments

View the Award Change Requests that are ready for AMT Review, now labeled Modifications, using the ERA Grants – Dashboard. To find unassigned Modifications, use the Teams tab – Modifications report. To see Modifications assigned to you, use the Dashboard – My Inbox tab.

ERA Award Change Requests are monitored by AMT under specific ERA Modification States. Tasks monitored by AMT include the following ERA Modification States:

Draft (for mods created by ORSPA only)
AMT Review in Progress
AMT Review Awaiting Action
AMT Review Pending Change
Ready to Execute
Execution on Hold
Execution in Progress

Tasks NOT monitored by AMT are in the following ERA Modification States:

IAC Review
IAC Review Pending Change
Department Review
Department Review Pending Change
PNT Review
PI Review (Note: AMT will review modifications in PI Review state once a month to ensure modifications are moving forward)
Complete
Declined
Withdrawn

Process

1. Select an AWD-MOD link to display the award modification workspace. Click “Edit Award Modification” to review the Award Modification Request (AMR) SmartForm (SF) and all attachments.

Determine the type of change requested. The AMR SF may be incomplete at this time and will need all information filled in before the AMT Review is completed. Review help text on the AMR for details regarding required information. For any budget changes, perform a financial review using the Job Aid – Business Verifications.

2. Q12.0 Are subawards impacted? – List any existing Subawards that will need a subaward contract modification. Selecting “Yes” will direct the ERA system to create an Agreements task and send an email notification to [email protected], and the PNT Subawards Team will execute a Subaward modification.

Click Continue to the AMT Review SmartForm. Confirm the accuracy and completeness of the information provided by using the checkboxes. Track each GCO action taken during the ERA modification process.
Q2.0: Subsequent notes should be added above previously entered notes. Include details to describe the current state of modification.
Q3.0 – indicates that approvals will be attached

3. Q9.0 – updated by ERA when “Attach Approvals” activity is used by the GCO

4. If a sponsor modification document is attached – skip to Process Sponsor Modification Documents.

Note these processes for specific sponsors:
For ASUF awards, any changes will need to be processed with the Prime Sponsor. Refer to Job Aid – ASUF Awards.
For Mayo awards, create an ERA Agreements task for Jonelle Clytus to contact Mayo and obtain the fully executed modification document.
For NSF Awards, refer to Processing NSF Award Changes Job Aid for two different options in routing and documenting the change(s).
For Work Suspension, Stop Work Orders or Early Termination, refer to Award-Work-Suspension-Job-Aid.
For 2nd No-Cost Extension Requests on NIH Awards, refer to Requesting 2nd No Cost Extensions on NIH Awards job aid.
For foreign awards that require a budget change, verify that a Foreign Currency Reconciliation has been completed prior to moving forward with the change request. A Foreign Currency Reconciliation is necessary because exchange rates could affect the funds available. View the award’s SharePoint – Submitted Invoices and Financial Reports folder.

5. Determine if the change is allowable and what the proper procedure is for managing the change. Review the terms and conditions found in:

Award agreement – attached in ERA as AW WC (Working Copy) or stored in Sharepoint > Activations > NOA folder.
ASU policies – on Research Admin and Policy and Procedure Manuals.
Sponsor guidelines – Funding announcement on the ERA funding proposal (FP) site and general post-award guidelines found online.
Federal requirements – Uniform Guidance.
For projects that fall under a master agreement, fully executed master agreements can be found in the ERA Agreements module. Search All Agreements and filter by Task ID “MA”. The Master Agreements Pre-Award Process Job Aid, found in WI-SN-70, can also be viewed to learn more about the administration of master agreements.

6. Notify the RA when additional information is needed.

Update AMR Q2.0 GCO Modification Processing Notes specifying the additional information requested.
Request information from RA – on ERA Mod Workspace via the “Request Changes” activity. Use the Comments box to explain to the RA what information is required.
Update the ERA Mod state via the “Update Awaiting Action(s)” activity and select the appropriate checkbox for the “Awaiting Action Groups”

7. Determine whether the sponsor’s approval and/or notification are required prior to completing the change. For the federal agencies listed below refer to the Research Terms and Conditions Prior Approval Matrix to determine whether prior sponsor approval is required or waived. Many, but not all, awards from these agencies fall under the Prior Approval Matrix.

DOE – Department of Energy
DOC – Department of Commerce
NASA – National Aeronautics & Space Administration
NOTE: Before new NASA awards, and some modifications, are issued , NASA requires the form GIC 12-01, Assurance of Compliance – Use of Funding Restriction with People’s Republic of China (PRC), to be institutionally signed and submitted. Check the proposal site in ERA for a document entitled NASA Assurances to see if the GIC 12-01 form has been previously completed. If GIC 12-01 has not been completed, view the Job Aid located in E-Business and follow the steps to obtain AD signature and submit the assurance form.
NIH – National Institutes of Health
NSF – National Science Foundation
USDA – US Department of Agriculture

8. Update the GCO Modification Processing Notes for any change where prior approval is determined to be not required. Examples:

<DATE> <INITIALS>: “I approve the processing of this award change to <…initiate a first no cost extension…> based on waived prior approval.
<DATE> <INITIALS>: “I approve the processing of this award change to rebudget for incremental subaward funding based on the sponsor approved budget.

9. If sponsor approval/notification is not required – skip to Execute an ERA Modification.

1. Prepare the request/notification using one of the following formats:

Formal Letter – KE Letterhead can be found in folder ACCTG > Award Monitoring and Change > Memos.
Email
Online sponsor portal such as Research.gov for NSF awards, eRA Commons for NIH.
Official modification document – AMT can create the mod for funding changes or updates to the period of performance for some non-federal sponsors. If the sponsor is an industry organization, confirm with IAG that they want AMT to contact the sponsor. Templates are stored in AMT SharePoint.

2. Submit the request/notification to sponsor outside of ERA.

Attach a confirmation of the submission to the ERA Modification using “Update Awaiting Action(s)” and select “Other” then list “Sponsor” as the action group. Set follow-up date.

3. For change notifications where prior approval is waived, and a sponsor modification document will not be issued – skip to Execute an ERA Modification. Note that most federal sponsors will send an official modification document after they receive the notification.

4. For change requests, continue to follow-up with the sponsor every 2 weeks until a reply is received.

5. For Non-Approval:

Notify PI and RA of non-approval
Upload the sponsor reply.
Determine if the request can be resubmitted with additional information.
If the request will not be resubmitted, withdraw the ERA Modification.

6. For Approvals received in the form of email or formal letter and a sponsor modification document will not be issued – skip to Execute an ERA Modification.

7. Continue to follow-up with the sponsor every 2 weeks until the sponsor modification document is received.

1. If the modification document(s) received by the sponsor is/are a result of a change request initiated by ASU, verify the modification reflects the changes requested.

2. Review these components of the sponsor modification document prior to obtaining approvals or signatures:

Period of Performance (POP) – compare to the POP on the most recent sponsor document.
Budget – refer again to Job Aid – Business Verifications.
Budget – refer again to Job Aid – Business Verifications.
Administrative Changes – some changes may not require any updates in ERA.
Changes to Scope of Work or Terms and Conditions – if modification contains new, modified, or removed scope of work and/or terms and conditions, perform the following steps.
- Use available resources to determine if changes are acceptable or if CFG input is needed. (Note: The Negotiation Guidance Tool is currently only accessible to CFG.)
- Notify CFG that review of the modification is needed by sending email to [email protected]. Email should include a modification number.
- CFG to confirm they will process using an ERA Agreements task or will otherwise advise that AMT can process through to execution. CFG will notify AMT GCO of the assessment.
- If CFG assumes responsibility, an ERA Agreements task is processed.
- CFG notifies AMT that modification has been completed by emailing confirmation to AMT GCO and [email protected]. Email should include a modification number.

3. For any clarifications or corrections to the sponsor modification document, contact the sponsor by email.

4. Describe the completed review of the sponsor modification document in the GCO Modification Processing Notes. Example: Modification reviewed, no issues found, or all issues resolved, PI approval obtained, ready for ASU signature.

5. Determine whether ASU signature is required. If not required – skip to Execute an ERA Modification.

6. Determine if the ERA Modification has already captured PI approval in the routing process or by email attachment, for the exact change represented in the sponsor modification document. If PI approval has been captured – skip to 9.

7. Obtain PI approval by routing the ERA Modification to the PI. Use the “Update Awaiting Actions(s)” activity and select “Yes” to “Request PI Approval?”

8. Follow-up weekly until PI approval is received. The ERA Modification state will return to AMT Review in Progress.

9. Obtain ASU signature for the sponsor modification document. AMT AD will monitor the ERA Modifications and attach a signed version of the sponsor modification.

AMT Review SmartForm Q3.0, radio button “Sponsor” should be selected, then “ASU Signer”
Include detailed transmittal notes and notes for obtaining signature

10. When a modification requires General Counsel signature, such as for Intergovernmental Agreements (IGA), AMT AD will sign the modification first then give it back to AMT GCO who will complete the General Counsel IGA Checklist (located in folder ACCTG > Award Monitoring and Change > Modifications) and email PDF copy of the agreement and checklist to the General Counsel Office at [email protected]. If routing is hard-copy, the General Counsel Office is in the Fulton Center, 3rd Floor, Room 335. Update the GCO Notes to indicate obtaining ASU GC signature.

11. Send the signed modification document to the sponsor.

12. For fully executed sponsor modification documents – skip to Execute an ERA Modification.

13. For partially executed sponsor modification documents, follow-up with the sponsor every 2 weeks until the fully executed modification is received.

14. Run the activity “Attach Approvals” to upload the fully executed modification to the ERA Modification.

Execute an ERA modification

1. Run the activity “Complete AMT Review” on the modification workspace. Confirm the GCO Processing Notes are complete and that all attachments are uploaded. Attachments should be uploaded to an ERA Award Change Request as follows.

Save fully executed amendment* as pdf to “Sponsor Approval/Support Attachments” *If sponsor approval is provided in the form of an email, save it as a pdf
If a budget change is involved, save Award Change Request Budget Template to “Budget Change Attachments”
Delete interim correspondence (emails, pdfs, etc.) from “Sponsor Approval/Support Attachments” prior to completing the modification
If it is necessary to save a document other than the fully executed amendment and/or budget, only attach it under the “Documents” section when running the “Complete” activity

2. Create new Accounts and new Subawards, if needed, from the award workspace; refer to Job Aid – Create Accounts and Subawards.

3. Process changes in ERA on the necessary smart forms by referring to the ERA Modifications Matrix.

Run the action “Update Account” on the account workspace for any account specific changes.
Run the action “Update Award” on the award workspace, for any changes to items that are not on the modification smart forms.
Run the activity ‘Execute Award Modification’ on the modification workspace.
If there are expired special reviews on the award, the modification state changes to Execution on Hold. ORIA will monitor these expired special reviews and update the award when compliance is reached. Then the ERA modification state changes to Execution in Progress.
Use ‘Edit Award Modification’ to navigate the award smart forms and make the required changes.
- Review the inline help text for specific details.
- For Budget changes, refer to WI-AS-50 STEP 4, for details on the Authorized Award Budget and Budget Reconciliation smart forms.

4. Run the activity “Complete” on the ERA Modification workspace.

5. Confirm the award Deliverables were updated if the period of performance was changed and make any necessary corrections/additions using the actions “Create Deliverable Schedule” or “Update Deliverable Schedule” on the award workspace. Add any new installment invoices that may not be auto created. Refer to the Job Aid – Create ERA Deliverables

6. Use the action “GCO Processing Notes” on the award workspace to add any critical information that will be helpful to AMT going forward.

7. Verify that the ERA Modification is integrated to Workday. Integration normally occurs after 5-10 minutes but could take much longer. View the award in Workday for the changes made. Locate the ERA Integration reports on Grants – Maintenance tab.

8. Integration errors may occur. If AMT GCO cannot troubleshoot for a fix, report error to the designated ERA and Workday Grant Administrators.

9. Once the integration to Workday is successful, any newly created accounts will need to be added to a Workday Billing Schedule. Determine if the new account will need to be billed individually or not. Refer to the Job Aid – Create Billing Schedule.

Process sponsor modifications – AD procedure

1. Find modifications awaiting signature on ERA Grants Dashboard – Student Actions tab – Modifications. Click the ID link to display the modification workspace.

2. Review the GCO Modification Processing Notes and attached documents to verify the following items:

Modification is compliant with change request and award terms and conditions
PI approval is on file

3. Review Modification with AMT GCO to obtain clarification, if needed.

4. Sign the sponsor modification document when all issues have been resolved.

5. Use Attach Approvals to upload it to the ERA modification.

Review CAS exception

Designated AMT GCO:

1. Review scope of work, budget and budget justification and confirm the following:

Is our sponsor federal or sub-federal?
Does the scope of work support the direct charging of costs normally treated as F&A costs?
Are the costs requesting a CAS exception included in the budget and described in the budget justification?
See CAS sitelet for additional guidance and common exceptions

Review request for representations and certifications

At times, an AMT GCO may receive a request from a sponsor to complete a representation or certification form. AMT should work directly with PNT to obtain the completed forms. AMT is responsible for submitting the completed forms to the sponsor. When a GCO receives this type of request, refer to WI-SN-10. This collaboration with PNT does not include requests for subrecipient commitment forms. Subrecipient commitment forms may be completed by AMT, using information found on the standard institutional information and FDP clearinghouse pages. Questions regarding completion of the forms may be directed to team leads.

Review additional pay web form

Effective 11/01/2020 the Additional Pay ORSPA 310 Fillable PDF Form is available for use. The Additional Pay Web Form on SharePoint has been discontinued effective January 2022.

FOT Reviewer/approver:

Monitor the [email protected] mailbox. Open the email link and review the Additional Pay package to ensure it is complete and the request meets required guidelines. A package is considered complete when it has a completed and signed ORSPA 310 Form and documentation supporting the sponsor’s written approval.

1. Initial Additional Pay Form Review:

Sections A, B, C, and D are complete.
Section E – all boxes are checked.
PI, Chair, and Dean have approved the Additional Pay Form.

2. Sponsor approval has been included:

Proposal budget or budget justification page clearly denoting “honoraria/intra-university consulting/ instruction supplement/ stipend pay/supplemental pay” for the employee shown on the Additional Pay form. OR
Written approval (email is acceptable) from the sponsor’s authorizing administrative agent which clearly denotes “honoraria/ intra-university consulting/instruction supplement/ stipend pay/supplemental pay” for the employee shown on the Additional Pay Form.

3. Request missing items:

If something is missing, reply to the submitter, request the item be supplied within 3 business days.

4. Verify request meets regulations:

For Honoraria (HNR) requests, verify that description of work performed is consistent with an honoraria: a one-time payment as an acknowledgement of professional services, typically as a speaker for a non-recurring event. Also verify the amount does not exceed the amount specified in ACD 510-02 which is currently listed as $1,500 per engagement.
For Stipend (STI) requests, log into PeopleSoft and verify employees are exempt. Requests for non-exempt employees or students, including GRAs, should be returned to the requesting department noting that this form is not needed. For exempt employees, carefully scrutinize the description of work performed to determine if the payment is for compensation for services rendered or if it is payment for participation in a sponsored program. Requests that are deemed to be compensatory should be returned to the department indicating that the earnings code does not seem to be appropriate. Requests for STI exempt payment for participation in a sponsored program should be reasonable and consistent with payments to non-exempt employees or non-employees in the same sponsored program. Further, payments not for services rendered should be sufficiently documented and may require additional clarification from the requestor. Be sure to save any additional documentation received to ERA.
For ICS/ISP requests, log into PeopleSoft and search the employee ID in the Job Data profile. On the ‘Compensation’ tab verify the hourly rate is greater or equal to the hourly rate specified on the Additional Pay form. On the ‘Job Information’ tab, the employee should be 1.0 FTE or greater to receive ICS/ISP pay. It may be necessary to combine all active records for the total FTE to determine if the employee is at 1.0 FTE. Finally, verify that the employee is an exempt employee. Part-time employees will be considered on a case-by-case basis. Non-exempt employees will not be approved. While OMB Uniform Guidance section §200.430 does pertain to both exempt and nonexempt employees, approval for a specific rate of pay for a non-exempt employee needs to follow Fair Labor Standards Act (FLSA) which is outside the oversight of ORSPA. In June 2021 Financial Services/Payroll confirmed Postdocs can receive additional pay. Postdoc additional pay will follow supplemental/ICS pay requirements of the ACD policy manual and Uniform Guidance. If the rate of pay for the additional pay request exceeds the IBS (Institutional Base Salary) rate of pay the request should be rejected. The department is responsible for preparing an offer letter.
For Danger Pay Allowance (DPA) requests, ensure the danger pay location is identified in section E and the danger pay calculation worksheet and travel itinerary are attached. Verify danger pay rate for the appropriate travel dates and location at the U.S. Department of State website: https://aoprals.state.gov/Web920/danger_pay_all.asp.

5. Review the form and attachments. For requests which cannot be approved, email the submitter and clearly state the reason(s) for which the request cannot be approved, citing any appropriate policy or regulation.

If approved, send email to submitter, and CC: [email protected], with the following information:

Thank you for completing the Additional Pay ORSPA 310 form designed to assist you in complying with Uniform Guidance, ACD 510-02, and ACD 510-04. Please consider this email ORSPA’s approval of the attached Intra-University pay form for the following individual:

Employee Name:

ASU ID Number:

Additional Pay Amount:

Performance Period:

Additional Pay/Earn Code:

Grant and/or Award:

A PTR can be submitted in PeopleSoft after the employee has completed his/her work. Please ensure an offer letter is in place for ICS/ISP pay the states the work will be outside of normal business hours and duties (per WI-EP-130)

6. Record the additional pay in ERA.

ERA Instructions:

Go to: Grants > Accounts > Filter by: Account: %[GR]# (from Additional Pay Form) > click “Go” > click on award under Award Number (if the Award number is provided go to it directly)> click on Update Award (link on left side of screen)

Type “Add additional pay information” or “Update additional pay information” in the description box.
Under 7.0 Special Review section
- Click the YES button next to “Additional Pay” if it is not already selected.
- Click on +Add under Additional Pay
- Complete all fields
- Add PDF attachment(s) – completed 310 form, backup documents, ORSPA approval email.
- In the Notes field enter a note similar to: Reviewed and approved by [first initial, last name]. Backup attached.
- Scroll to the bottom of the screen and click “OK” to save

To review your entries: click on “Printer Version” on the left of the Awards screen and scroll to section 7.0 or click on “View Award” and select section 7.0. Close or Exit when done viewing.

7. PTRs should not be approved until all four approvals – PI, ORSPA, Chair, and Dean – are in place and recorded on the ORSPA 310 form and the work has been completed. Prepayment is not allowed. The deadline for approving PTRs for inclusion on the next paycheck is every other Thursday on the non-pay weeks.

Sources: ACD 510-02, ACD 510-04, SPP 404-02, RSP 502-01, U.G. 2 CFR Part 200 §200.430

Review interrelated projects forms

1. Refer to the “Allocation of Costs between Interrelated Projects” section within Sponsored Projects Allowability Job Aid for review procedures.

2. AMT GCO is to decide based on the justification and working knowledge of award/accounts. Forward that determination justification to the AMT AD for review and approval.

3. If approved, in the Notes field of activation task, notes approval in the following format: “MM/DD/YY <Initials>: The Interrelated Projects form requested on <Request Date from Form> for accounts <List account numbers> is approved. Saved approval email from AMT AD in task folder and process activation to document approval in Coeus.”

4. To document the approval, refer to New Award Setup Process Instructions.

5. For non-approved forms, refer to step 5 in the Obtain Sponsor Approval/Notification section for processing.

Manage award work suspension

At any time during the project period a GCO may receive a notice to halt work on a project. These can come in many forms including a Work Suspension, Stop Work Order, Breach of Contract or Early Termination.

Please refer to Award Work Suspension Job Aid.

Review allowance request

At times, ASU employees may receive an allowance, which is in addition to their current salary. The common allowances are: housing allowance (HSG); moving allowance (MOV), Same Day Meal (SDM) or Employee Taxable Reimbursement (ETR). The purpose of the following process is to determine the allowability of the allowance to be charged against the sponsored project account.

FOT GCO procedures:

1. Monitor [email protected] mailbox.

2. When a request for Housing Allowance (HSG), Moving Expense (MOV), Same Day Meal (SDM) or Employee Taxable Reimbursement (ETR) has been received, send an email to the AMT GCO using the “Request for Allowance Approval” template.

3. Review AMT GCO’s response.

For approved requests, send email to department contact giving approval to submit a PTR.
For denied requests, send email to department contact citing why the request cannot be approved.

4. Complete processing of PTR: PTR Off. Research /Spon Project workflow in PeopleSoft (ASU Customizations > ASU HCM Custom > ASU HR > Personnel Transaction Request > PTR Work List).

For approved requests, click “Approve PTR” in PeopleSoft and enter approval information when the comments box appears. Example: Approved by [AMT GCO] on [date].
If applicable, for denied requests, click the “Return PTR” button and enter reason when the comments box appears. Example: Denied by [AMT GCO] on [date] due to [reason for disapproval].
Capture AMT GCO/GCS’s approval or denial in ERA under the “GCO Processing Notes” link on the left side of the screen. Enter [Date, initials: note] under “General Notes” section and attach the email approval/denial (as a PDF).

AMT GCO procedures:

1. Review the email approval request received from FOT.

2. Review the NOA, modifications, proposal, and/or budget to determine if the allowance is allowable to be charged against the referenced sponsored project.

TIP: For HSG and MOV allowances, when the NOA references the cost principles within Uniform Guidance, review backup documentation for compliance with section 200.464 of Uniform Guidance.

3. Notify FOT GCO of allowance disposition.

For approved requests, reply to the email the request is allowable and a PTR can be processed.
For denied requests, reply to the email citing why the request cannot be approved.

Review change request

Process

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