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.
Subrecipient Information Form for Subawards Issued to ASU
Monthly Fiscal Deliverables
ORSPA Post-Award Services prepares and submits interim invoices and financial reports to external sponsors on behalf of ASU. Requirements for tracking these reports are obtained from the award documents and related sponsor terms and conditions. ASU's ERA system will have a deliverable for each invoice and report that is due for the life of the award. Invoices and reports are prepared based on financial expenditures in Workday and allowable facilities and administrative costs. Invoices are created in Workday to represent the amount requested for payment. These Workday invoices are displayed on each award AWD # in Workday. Invoices and financial reports sent to sponsors are in the format the sponsor requires and may vary from the Workday invoice format. Submission to sponsors is via email, US Mail, electronic portal or federal payment system. All invoices and reports that are submitted to sponsors are saved in the award SharePoint folders. Follow detailed Work Instructions.
Intellectual Property Reports
See Submitting Intellectual Property Reports Job Aid for related instructions.
Audit information requests
Generic Uniform Guidance Compliance Letter can be found in SharePoint folder Operations > Shared Documents > Audit Certification Templates. Some sponsors will require ASU to complete their institution's audit compliance forms and these requests should be routed to SponsoredCompliance@asu.edu. A confirmation email should be received to acknowledge the request.
Certification of compliance is often requested at the proposal stage when Federal funds are involved, and is then typically requested annually thereafter. Each pass-through entity has its own unique forms and questions used to ensure that ASU meets the circular’s audit requirements. Standardized responses to these requests are prepared and sent directly to the sponsor by the Fiscal Oversight Team.
Subrecipient Information Forms for Subawards Issued to ASU
ASU is often required to complete subrecipient information forms when we are working in the capacity of the subawardee in a subrecipient relationship. Other common names for these forms are Subreceipient Data Collection Form, Subrecipient Commitment Form or Annual Subrecipient Certification. ASU's sponsor (usually another university) uses the information from the form to ensure they have accurate vendor information on file and to obtain annual compliance certifications. Follow the instructions below to successfully complete the form:
1. Utilize ASU’s “Standard Institutional Information” webpage to insert common data, such as ASU’s DUNs number and address.
2. Use the following resources to answer other standard inquires:
2.1 Reps and Certs Guidance (PNT SharePoint Resource)
2.2 PNT Contract Negotiation (PNT SharePoint Resource)
2.4 Single Audit Reports. Work with Fiscal Oversight, for forms which are requesting audit information greater than what is provided on the Single Audit page.
3. Forward to AMT AD for signature.
4. Submit to sponsor.