Home | Process | Execute Project | Manage change

Responsibility: Units
Prepared by: AMT
Work Instruction Number: 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 addition 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.

Financial ChangesProgrammatic/Administrative Changes
Additional FundsAdd a New Unit or Center
Additional PayChanges to Key Personnel
After-The-Fact Review ReportChanges to Scope of Work
Allowable CostsInternal Allocation Changes (IACs)
—>NIH Over the Cap SalaryNo-Cost Extension
—>NSF Salary LimitationTransfer of Sponsor Projects to ASU
Allowance PayTransfer Projects from ASU to Another Institution (see Departing Faculty on Sponsored Projects page)
Carryover/Carryforward
Cost Accounting Standards (CAS)
Cost Sharing
Cost Transfers
—> Payroll
—> Non Payroll
Rebudgets
Post-Award At-Risk Requests

No-cost extension

Review the Post-Award Management Sitelet in conjunction with these work instructions.

  1. Review sponsor guidelines (award document, policies, etc.) to determine if the request is allowable and if sponsor approval is required.
  2. Confirm that the grant account has sufficient funding to cover the additional time request. This can be done using the Budget to Actuals – Grant report in Workday or working with the appropriate post award/business person in the unit. 
  3. To create and submit a No Cost Extension Request, follow these steps to access the Award Change Request SmartForm in ERA.
  4. Complete the Award Change Request SmartForm following the in-line help text. Make sure to provide a scientific justification which explains why the project needs to continue beyond the current termination date.  Should the sponsor require a specific format or form, please attach any required documents to the Award Modification Request in ERA.
  5. Submit the Award Change Request for approvals in ERA.
  6. Track the status of the request using your Dashboard in ERA.
  7. Upon sponsor approval, take the following actions:  1) Adjust PeopleSoft for salary changes, if applicable and 2) Update project plan and deliverable schedule with new timeline.
  8. Spend and monitor accordingly.

Additional Information: Note that some sponsors such as the U.S. Department of State often require that an updated budget be submitted along with the No Cost Extension. Make sure to review the Notice of Award and applicable policies to determine the appropriate additional documentation needed for a No Cost Extension. If the NCE will also require a Budget Change, Change of Senior/Key Personnel and/or Change of Scope, return to Field 4.0 of the Award Change Request SmartForm and check the Budget, Personnel and/or Other Change options in addition to the NCe.

Rebudget

Review the Post-Award Management Sitelet in conjunction with these work instructions.

  1. Compare the original budget approved by the sponsor with the proposed budget.
  2. Review sponsor guidelines (award document, award guidelines) and 2 CFR Part 200 (where federal funds are involved) and ASU policies to determine if the request is allowable and if prior sponsor approval is required. Contact the assigned AMT GCO, if unsure.
  3. Initiate rebudget of project funds to address discrepancies between original budget and proposed budget using the Award Change Request Budget Template.
  4. Ensure that any F&A funds due or freed up as a result of the budget are captured in the proposed budget.
  5. To create and submit the rebudget request, follow these steps to access the Award Modification Request SmartForm in ERA.
  6. Complete the Award Modification Request SmartForm following the in-line help text. Make sure to provide a scientific justification which explains the programmatic benefit, what prompted the budget revision and how the Scope of Work will be impacted as a result of this change. Should the sponsor require a specific format or form, please attach any required sponsored documents to the Award Modification Request in ERA.
  7. Submit the Award Change Request for approvals in ERA.
  8. For sponsors that require prior approval, AMT will submit the request to the sponsor for approval.
  9. Track the status of the request using your Dashboard in ERA.
  10. Upon sponsor approval, if there are pending purchase orders, notify the Purchasing department of the processed re-budget action and complete the purchase order request.
  11. Spend and monitor accordingly.

Additional Information: Note that some sponsors such as the U.S. Department of State often require budget changes to be submitted using their budget template. Make sure to review the Notice of Award and applicable policies to determine the appropriate additional documentation needed for a change in budget.

Post-award at-risk requests

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 PNT at [email protected]. 

Review the Post-Award Management Sitelet in conjunction with these work instructions.

Projects that are incrementally funded and only authorized to spend during a specified period may request at-risk status for time and/or funding to continue work without interruption, pending receipt of a modification. To request a post-award at-risk:

  1. Follow these steps to access the Award Change Request SmartForm in ERA
  2. Complete the Award Modification Request SmartForm following the in-line help text and provide a scientific justification which explains the programmatic benefit of the request.
  3. Upload backup documentation showing the sponsor’s intent to fund (refer to the Post-Award At-Risk Job Aid).
  4. Submit the Award Change Request for approvals in ERA.
  5. Track the status of the request using your Dashboard in ERA.

Additional Information: All at-risk requests require a cost guarantee to cover any expenditures incurred during the at-risk period in the event that the award modification is not received. In some instances, KE can provide the cost guarantee on behalf of the unit. To request a KE Cost Guarantee, the request must meet certain qualifications. For more information on qualifications for a KE guarantee and other post-award at-risk limitations please refer to Post-Award At-Risk Job Aid.

Additional funds

Additional funds (revisions/supplements) must be processed in the ERA Proposals module first – using current Facilities & Administrative (F&A) practices, current Employee Related Expenses (ERE), and current tuition rates. See the Additional Funds for a Sponsored Project page for further information.

Carryover/carryforward request

Review the Post-Award Management Sitelet in conjunction with these work instructions.

General:   

  1. Reconcile project expenses, resolving and removing all encumbrances
  2. Determine whether a carryover will be requested and inform your AMT GCO. 
  3. To request the carryforward request, follow these steps to access the Award Change Request SmartForm in ERA.
  4. Complete the Award Change Request SmartForm following the in-line help text and provide a scientific justification, budget and budget justification for the carryover funds.
  5. Submit the Award Modification Request for approvals in ERA.
  6. Track the status of the request using your Dashboard in ERA.

NIH Specific:

  1. Reconcile project expenses, resolving and removing all encumbrances
  2. Determine whether a carryover will be requested and inform the assigned AMT GCO
  3. Confirm with the assigned AMT GCO that the final Financial Status Report (FSR) from the previous grant year has been submitted to NIH and request a copy of the detailed unobligated balance.  Note:   NIH will not process a carryover request until the final FSR from the previous grant year has been processed
  4. To request a carryforward request, follow these steps to access the Award Change Request SmartForm in ERA.
  5. Complete the Award Change Request following the in-line help text and upload the following information:
    1. Complete NIH PHS 398 Checklist Form
    2. An unobligated budget request using PHS398 budget form
    3. A detailed budget justification for how the carry forward funds will be used
    4. A justification that explains:
      1. why the work cannot be accomplished by using or rebudgeting current year funds
      2. how the carryover request will move the project forward scientifically, and
      3. why the funds to be carried forward were unspent in the designated year
  6. Submit the Award Change Request for approvals in ERA.
  7. If approved, initiate a rebudget request moving approved unobligated balance from previous year’s accounts into current year’s account
  8. Monitor and spend accordingly

Additional pay form

The Additional Pay Web Form on SharePoint has been discontinued effective January 2022. Please use the Additional Pay ORSPA 310 Fillable PDF Form.

Review the Post-Award Management Sitelet in conjunction with these work instructions.

1. Review proposal budget to verify additional pay was included.

  • If yes, continue the steps below.

  • If no, follow WI-EP-130’s rebudget instructions; once approved, continue steps below.

2. Complete 310 Form located in “Forms & Templates” and route to PI, Chair and Dean for approval.

For ICS, ISP, and STI pay:

  • Calculate hourly rate using institutional base salary and include approximate number of hours employee will work on the project on the Additional Pay form under section D.c.
  • Faculty may not receive more than a total of 312 hours per AY.
  • Academic professionals may not exceed 384 hours per FY.
  • Exempt employees are limited to 400 hours per FY.
  • STI applies to exempt employees only. The Additional Pay form is not required for non-exempt employees. STI is only for non-compensatory additional pay (e.g., research for thesis only (does not benefit a PI), attending a seminar, workshop, etc).
  • Part-time employees will be considered on a case-by-case basis.
  • Non-exempt employees will not be approved due to Fair Labor Standards Act (FLSA) requirements for time reporting that are outside the scope of Research Operations.

For HNR pay:

  • Amount should not exceed $1,500 per engagement (per ACD-510-02).

For DPA pay:

  • Calculate daily rate of pay from PeopleSoft.
  • Multiply by the applicable danger pay rate found at https://aoprals.state.gov/Web920/danger_pay_all.asp.
  • In order to be eligible for danger pay the employee must be in danger pay location for a minimum of 4 hours/day, Monday – Friday, including university observed holidays.
  • Danger pay begins when the employee’s plane initially lands in the danger pay location.
  • Attach a worksheet to the Additional Pay form showing danger pay calculation and travel itinerary.

3. Attach sponsor approval by providing one of the following:

  • A copy of the proposal budget justification where the additional pay was justified and clearly explained as pay in excess of the employee’s base salary.
  • A copy of the award agreement which explicitly approved additional pay for the employee.
  • Written approval from the authorized representative of the sponsor. For large Federal agencies, such as NSF, the Program Officer is not the correct person to get sponsor approval for financial/compliance items, it should be their financial/contractual counterpart.
  • Sponsor is responsible for acquiring prime sponsor’s approval.

4. Email the completed form and backup documents to [email protected]. ORSPA will email an approval or request for additional information back to the submitted.

5. Unit should retain a copy of the additional pay form and attachments in the unit HR files.

6. For ICS and ISP additional pay, prepare offer letter to employee that contains the following information:

  • Amount of the additional pay.
  • Dates of the performance period.
  • A description of the work to be performed.
  • Request for employee to accept the assignment.
  • Statement that indicates that the work will be outside of normal duties and work schedule.
  • Secure signed offer letter from employee prior to the employee beginning the additional work.

To further clarify when ICS vs ISP should be used: ICS should be used when the work being performed is primarily as a subject matter expert (SME) (e.g. developing course material). ISP should be used when the work being performed is primarily teaching/instructing.

7. Submit a PTR in PeopleSoft for the approved additional pay following completion of work. ORSPA will not approve a PTR until all four approvals – PI, ORSPA, Chair and Dean – are recorded in the SharePoint system or on the ORSPA 310 Form. The information on the PTR must match the additional pay form.

References: U.G. 2 CFR Part 200 (§200.430), ACD 510-02, ACD 510-04, SPP 404-02

Allowance pay

Common allowances that require ORSPA pre-approval are: Housing Allowance (HSG), Moving Expense (MOV), Same Day Meal (SDM), and Employee Taxable Reimbursement (ETR). 

  1. Ensure budget and/or award or modification includes allowability for allowance pay.
  2. Send a written justification with appropriate backup documentation to [email protected].
  3. After receiving an approval email from Fiscal Oversight, submit a PTR in PeopleSoft for the appropriate allowance pay.

Changes to key personnel

Change of PI

  1. If the change is the result of leaving the institution, see Departing Faculty on Sponsored Projects page
  2. For other reasons, follow the instructions for Other Changes to Key Personnel below.

Other changes to key personnel

  1. Gather the information appropriate to the situation below:
    1. Addition of key personnel
      1. Biosketch
      2. Statement of current and pending support
      3. Other documentation, if required by sponsor guidelines
    2. Deletion of key personnel
      1. Name and date of personnel’s departure
      2. A description of how the duties of will be addressed after person leaves
    3. Change in key personnel status
      1. Identify the dates of the leave (sabbatical, medical, other…)
      2. Address what, if any, involvement the PI will have with the project during the leave
      3. Describe how the project will be managed during the period of absence.
  2. To request the Change in Key Personnel, follow these steps to access the Award Change Request SmartForm in ERA.
  3. Complete the Award Change Request SmartForm following the in-line help text and provide a scientific justification on how the change of key personnel will affect the scope of work.
  4. Upload the above information in #1 and any other information required by the sponsor in the required sponsor format (if any).
  5. Submit the Award Change Request for approvals in ERA.
  6. Track the status of the request using your Dashboard in ERA.
  7. If approved, continue Internal Allocation Changes.

Additional resource:   Post-Award Management Sitelet ​

Internal Allocation Changes (IACs)

  1. Confirm any steps needed in Key Personnel Changes have been completed and, where necessary; approved by sponsor
  2. Follow these steps to access the Award Change Request SmartForm in ERA.
  3. Following the in-line help text, complete Fields 1-5 of the first page of the Award Change Request SmartForm.
  4. In the Allocations Table, verify that the Lead Financial Unit listed matches the Lead Financial of the Award (unless you intentionally changed the Lead Financial Unit). If the Lead Financial Unit does not match, or if a Lead Financial Unit change is desired, update as appropriate.
  5. Click on the “Add” button located on the upper right side of your screen to add a new allocation period.
  6. Under the new allocation period, enter the effective date of the change as the Start Date.
  7. Under the previous allocation period, enter the day before the effective date as the End Date.
  8. To add additional personnel to the allocation table, click on the “Add” button located on the lower left side of your screen.
  9. Enter the updated REC/RID/IIA allocations under the new allocation period.
  10. Hit Finish.

NOTE:  At the moment it is not possible to delete a person from the allocations table. If a person will no longer be receiving allocations, you would simply need to update that person’s REC/RID/IIA allocations to 0%.

NOTE: Auto-RID transfers that have already been completed will not be adjusted until the year end reconciliation is done. However, once ERA is updated for the new allocations, RID distributions will start going to the new accounts beginning the week the change was made.

ADDITIONAL RESOURCE:   Post-Award Management Sitelet

Add a new unit or center

1. RA will complete the New ERA Unit Request either in Outlook or in Word.

2. RA will send the form to [email protected]. RA will allow 24 hours for the new unit/center to be added to ERA.

3. Once in ERA, AMT will initiate a request to the unit for additional administrative details required for the records. RA need not wait for this step to continue the task in progress.

Departing faculty

Refer to the Post-Award Management Sitelet and Departing Faculty on Sponsored Projects page for guidance.

PI transfer to a new academic unit due to disestablishment/reorganization of existing home unit

  1. Identify the effective date of transfer with the old home unit and the new home unit and confirm.
  2. Create a list of active projects that will be transferred.  It is KE policy that the new home unit will accept all active projects of the incoming faculty.
  3. Confirm with PI that the only change for the project will be the new financial lead unit.
  4. RA staff from the old unit and new unit will work together to transfer all necessary paper and electronic files.
  5. RA staff from the new unit will follow these steps to access the Award Modification Request SmartForm in ERA.
  6. RA staff from the new unit will complete the Award Modification Request SmartForm following the in-line help text making sure to select the Modification Type “Other” in Field 4.0.
  7. Submit the Award Change Request for approvals in ERA.
  8. Track the status of the request using your Dashboard in ERA.
  9. If changes to Internal Investigator allocations are needed, follow the Internal Allocation Changes Work Instructions.

PI retires from the university

PI will identify the effective date of retirement and notify RA staff if they will continue at the University in an Emeritus capacity with their research program.

If no other changes to the project are required, no action needs to be taken.

If PI retires from a disestablished unit, they will need to find a new home unit to continue their research project.

If PI retires and does not continue at the University in an Emeritus status, please refer to the Change of Key Personnel section.

Related content

Additional Pay Web Form

Additional Pay ORSPA 310 Fillable PDF

Danger Pay Calculation Worksheet

Federal-Wide Research Terms and Conditions

Scientific Justification Job Aid

Processing NSF Award Changes Job Aid