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Manage Change
Responsibility: Units
Prepared by: RAS
Work Instruction Number: WI-EP-130

To initiate project changes: 1) identify what is required to complete the deliverable(s), 2) complete an ORSPA Action Forms (OAF), in accord with the OAF instructions and 3) send the completed form to notifications@asu.edu.

For the additional of funds (supplements, non-competing continuations, and inclremental funds, do not use the OAF. Use ERA. 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 OAF is NOT required.  These project change requests should be submitted via Research.gov and the appropriate AMT GCO will address. For additional information about when an OAF is needed for NSF actions, see the Processing NSF Award Changes Job Aid.

Financial Changes

Programmatic/Administrative Changes

 

Additional Funds

Additional Pay

After-The-Fact Review Report

Allowable Costs

--->NIH Over the Cap Salary

--->NSF Salary Limitation

At-Risk Request (Post-Award)

Carryover/Carryforward

Cost Accounting Standards (CAS)

Cost Sharing

 

 

Cost Transfers

---> Payroll

---> Non Payroll

Rebudgets

Effort Reporting

Post-Award At-Risk Requests

Add a New Unit or Center

Changes to Key Personnel

Changes to Scope of Work 

Changes to Investigator and/or Allocations

No-Cost Extension

Transfer of Sponsor Projects to ASU

Transfer Project from ASU to Another Institution (see Departing Faculty on Sponsored Projects page)

 

 

 

 

 

 

 

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 agency/org has sufficient funding to cover the additional time request. This can be done using iPAR or working with the appropriate post award/business person in the unit.
  3. Complete the ORSPA Action Form (OAF) and 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 include the request with the OAF.
  4. Obtain PI approval in accord with OAF instructions, include attachments and submit to notifications@asu.edu.
  5. Track the status of the request in My Items in ORSPA (MIIO).
  6. 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.
  7. Spend and monitor accordingly.

Rebudget

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

  1. Compare original budget approved by 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 ORSPA Action Form (OAF)Use "Additional Budget Information" tab on the OAF if making changes to more than one account. 
  4. Ensure that any F&A funds due or freed up as a result of the budget are captured in the proposed budget.
  5. The accompanying justification must include all of the following:
    • A scientific justification describing the technical/programmatic benefit
    • An explanation of what prompted the budget revision
    • A description of how the proposed change benefit and/or improve the project
    • An explanation of how the “Scope of Work” be impacted as a result of this change
  6. Obtain PI in accord with OAF instructions.
  7. Send the completed OAF and supporting documents to notifications@asu.edu.
  8. For sponsors that require prior approval, AMT will submit the request to the sponsor for approval.
  9. Track the status of the request in My Items in ORSPA (MIIO).
  10. Upon sponsor approval, if there are pending purchase orders, notify the Purchasing department of the processed re-budget action and complete purchase order request.
  11. Spend and monitor accordingly.

Post-Award At-Risk Requests

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. Complete ASU 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 (AWDXXXXXXXX) for which you want to submit an at-risk request.

4.3 From the Funding Award site, select the  action to open a new window.

4.4 In the new window, complete the fields as follows:

  • To: Select PNT (Required). You can add additional recipients including PI (Optional) or RA (Optional)
  • Email Body: 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: The  action is available to all registered ERA users and there is no ownership requirements. Units should be aware that this action should only be executed to submit post-award at-risks. Units are also advised that executing this action will create a permanent record in the history section of the Funding Award visible to everyone. Units should make sure all information is accurate, concise, relevant and specific to the post-award at-risk request.

Additional Funds

Additional funds (revisions/supplements) must be processed in ERA – 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 the assigned GCO
  3. Submit an OAF to request carryover approval.   Include a technical justification, budget and budget justification for the carryover funds and e-mail to notifications@asu.edu

NIH Specific:

  1. Reconcile project expenses, resolving and removing all encumbrances
  2. Determine whether a carryover will be requested and inform the assigned GCO
  3. Confirm with assigned AMT GCO that the final Financial Status Report (FSR) from 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. Complete an ORSPA Action Form (OAF) and include:
    1. an unobligated budget request using PHS398 budget form
    2. a detailed budget justification for how the carry forward funds will be used
    3. a narrative which explains:
      • why the work cannot be accomplished by using or rebudgeting current year funds
      • how the carryover request will move the project forward scientifically, and
      • why the funds to be carried forward were unspent in the designated year
  5. Complete an NIH PHS 398 Checklist Form
  6. Submit to AMT via notifications@asu.edu for review and submission to NIH
  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

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

2. Complete the Additional Pay web form located on the RA SharePoint site.

      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 webform 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.
•    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 web 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 authorized representative of the sponsor.
•    Sponsor is responsible for acquiring prime sponsor's approval.

4..  Submit the additional pay web form. It will route electronically to the Fiscal Oversight Team (FOT)  then to both the dean and chair for approvals.
 
5. Unit’s should retain a copy of the web form and attachments in the unit HR files. 7.. 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 is outside of normal duties.Secure signed offer letter from employee prior to the employee beginning the additional work.

6. Submit a PTR in PeopleSoft for the approved additional pay following completion of work.

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 SPNmonitoring@asu.edu .

  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. Prepare a scientific justification on how the change of key personnel will affect the scope of work.
  3. Complete an OAF and attach the above information in #1 and # 2 in this section.
  4. Attach other information required by the sponsor, in required sponsor format, if any.
  5. Obtain PI approval
  6. Submit the OAF and other required information to notifications@asu.edu.
  7. If sponsor approval is needed, AMT will submit the request to the sponsor for review and approval.
  8. If approved, continue to Changes to Investigator and/or Allocations.

ADDITIONAL RESOURCE:   Post-Award Management Sitelet 

Changes to Investigator and/or Allocation

  1. Confirm any steps needed in Key Personnel Changes have been completed and, where necessary; approved by sponsor
  2. For key personnel changes, which require changes to REC/RID/IIA, complete the Investigator and/or Allocation Changes form
    1. No form is needed if the investigator being added was on the original allocations form and there are no allocation changes
    2. Investigators being added or deleted must sign off on the new Investigator and/or Allocation Changes form along with the default unit chairs/directors and deans impacted by the change(s).
    3. Investigators not affected by the change (i.e., whose allocations remain the same) need not sign off on the revised Investigator and/or Allocation Changes form
  3. Obtain e-mail approvals of the form from the impacted investigators, department approvers, and college approvers
          *   Appropriate approvers can be identified using the All Departments and All Colleges reports in ERA Grants > Reports
  4. Prepare an e-mail to notifications@asu.edu and attach the:
    1. Investigator and/or Allocation Changes form (using the following naming convention for the file: AWDXXXXX_PI Last Name_Sponsor_IAC)
    2. PDFs of the approval e-mails

NOTE:  If an investigator leaves the institution and no replacement will be appointed, the allocation for that departed faculty member will default to the PI.   Unit need only submit an e-mail to notifications@asu.edu that includes account number, date of investigator departure, and the date the PI was notified of the departure.   No Investigator and/or Allocation Changes form is required.

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  

Departing Faculty

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

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 OKEDdataManagement@exchange.asu.edu. RA will allow 24 hours for the new unit/center to be added to Coeus and ERA.

3. Once in Coeus, 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.

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

1. Identify 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 OKED 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 old unit and new unit will work together to transfer all necessary paper and electronic files.

5. RA staff from new unit will submit the list to notifications@asu.edu so that Coeus can be updated.  This list needs to include:

  • the account number,
  • the faculty name,
  • faculty role on project (PI or Investigator),
  • the old unit,
  • the new unit, and
  • any comments deemed necessary to make the change.

Investigator/and or Allocations change forms are NOT required and account numbers will remain the same.

Note: If a PI transfers to a new academic unit on their own accord, the above process applies, however all allocation changes will be effective in the new home unit at the start of the fiscal year (July 1).  An Investigator and/or Allocation Changes form must be submitted to the old department and the new department by e-mail.  When all approvals have been obtained, the revised forms and the approvals should be submitted to notifications@asu.edu for processing.

Note: Changes to the distribution of RID are not processed by OKED Finance mid-year.  If the change happens mid-year, the old department and the new department must negotiate how to split the RID and process the transfer internally.  OKED will not automatically distribute RID to the new dept. until beginning of the fiscal year, July 1.

PI Retires from the University

PI will identify 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 Change of Key Personnel section above.

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