This work instruction consists of the following sections:
Process Award Modifications:
1. AMT receives ORSPA Action Form (OAF), creates a new task in the Activations site, and saves the request in a new Activation folder. The AMT Grant & Contract Officer (AMT GCO) assigned to the award is notified via email messagw from SharePoint.
The AMT GCO may create a new task in the Activations Site for change requests received directly. AMT GCO needs to verify the task doesn’t already exist before creating a new task. Do not setup the new task when email@example.com is included in the email request. The individual monitoring the notification inbox will setup the task.
When starting a new Activations task,
1.1. Refer to step 7 within WI-AS-15 to setup the Activation Folder.
1.2. Refer to step 8 within WI-AS-15 to complete the required task fields.
• The Notes field should be used to record review comments and task progress. Notes should always start with the date and GCO initials (e.g., 04/18/11 IL:). It’s important the notes include enough detail to allow the reviewer to understand the current status of the action requested. The most current note should be the first that appears in the list.
• The Secondary Status field should be used to define the appropriate status the task is currently in. Note that the Status field defines the queue the task is in and for Change Request the Status field should show "Award Modification". Below is a list of the different Secondary Statuses and their definitions which would be used during the change request process.
Awaiting PNT Action - AMT GCO requested PNT support.
Pending – New task has been created and assigned to AMT GCO or current task which have been moved into a new queue and no action has been taken.
In Progress - Task is in the AMT GCO's queue to work on.
Awaiting Department Action – AMT GCO requested additional information from the Unit.
Obtaining PI Approval – AMT GCO requested PI to approve award modification and/or changes.
Obtaining ASU Signature – Modification and/or change requires the AMT Assistant Director’s (AMT AD) signature. The AMT Student Workers monitor tasks with this status and manage the process for obtaining the AMT AD's signature.
Obtaining Sponsor Signature/Approval – Request/partially-executed modification has been sent to sponsor and AMT GCO is awaiting sponsor approval or fully –executed modification.
Completed - No Activation Needed - Award change was submitted; however, it was not approved by the sponsor.
2. Review documents in Activation folder and determine the type of change requested.
- For changes to NSF Awards refer to "Processing NSF Award Changes Job Aid" for two different options in routing and documenting the change.
- For noncompeting additional funding requests, refer RAs to Develop Proposal work instructions on selecting applicable ERA work instructions.
- For Work Suspension, Stop Work Orders, or Early Termination, refer to Job Aid "Work Suspension, Stop Work Orders, Early Termination".
- For 2nd No-Cost Extension Requests on NIH Awards, refer to "Requesting 2nd No Cost Extensions on NIH Awards job aid ".
- For Foreign awards, verify a Foreign Currency Reconciliation has been completed prior to moving forward with change request. A Foreign Currency Reconciliation is necessary because exchange rates could affect the funds available. The Foreign Currency Reconciliation Template can be found in ACCTG > Financial Reporting and Invoicing > Internal Forms.
3. Refer to Required Documentation Matrix below to confirm the documentation requirements for the type of change requested.
|Type of Change Request||ORSPA Action Form||Budget||Scope of Work||Investigator / Allocation Form||Cost Sharing Requirement Form|
|Pre-award costs in excess of 90 days||X||X|
|Carry forward of funds from one budget period to the next||X||X|
Change in key personnel and/or project effort. See Change of Key Personnel Job Aid for additional guidance
|Change in objectives or scope||X||X|
|Adjustment to cost sharing commitments||X||X||X|
|Contracting/ transferring project effort if not in original proposal (new sub-awards)||X||X||X|
|Rearrangements/ alterations in excess of $25,000||X||X||X|
|Grant transfer from ASU to another institution||X|
*For instances when cost share budget is being impacted by a modification.
4. Review the award agreement, ASU policies, sponsor guidelines (both funding announcement and general post-award guidelines), and, if applicable, federal requirements to determine if the change is allowable and the proper procedures for managing the change.
- For projects that fall under a master agreement, copies of fully-executed master agreements can be found on the PNT SharePoint page at the Master Agreement link. The Master Agreements Pre-Award Process Job Aid can also be viewed to learn more about the administration of master agreements.
5. Based on review of agreement and documentation submitted, notify RA when additional information is needed. Change task status to Awaiting Department Action and update review notes specifying additional information requested.
6. Determine whether sponsor’s approval and/or notification are required prior to change:
• Sponsor approval/notification required - Refer to Obtain Sponsor Approval/Notification.
• Sponsor approval/notification not required - Refer to Admin Execution of Adjustments.
For federal agencies listed below refer to the Research Terms and Conditions Prior Approval Matrix to determine whether prior sponsor approval is required or waived.
AFOSR - Air Force Office of Scientific Research
AMRMC - Army Medical Research and Material Command
ARO - Army Research Office
DOE - Department of Energy
DOC - Department of Commerce
EPA - Environmental Protection Agency
NASA - National Aeronautics & Space Administration
NOTE: Before new NASA awards are issued and some modifications to existing awards, 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 folder 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
ONR - Office of Naval Research
USDA - US Department of Agriculture
1. Using documentation provided by RA and sponsor guidelines, prepare request/notification using one of the following formats:
• Formal Letter – OKED Letterhead can be found in folder ACCTG > Award Monitoring and Change > Memos.
• Online sponsor site, such as, FastLane for NSF awards, eRA Commons for NIH, etc.
2. Submit the request/notification to sponsor.
• For requests where prior approval is waived and only sponsor notification is required, proceed to Admin Execution of Adjustments . Use PDF copy of notification to sponsor or submission confirmation message as documentation.
• For requests where prior approval is waived and sponsor notification is not required, proceed to Admin Execution of Adjustments.
• For requests where sponsor approval is required, until approval or award modification is received, follow-up with sponsor at least every two weeks via email, phone, or online site (FastLane, eRA Commons) copying RA as necessary. Update Notes field in the Activations task to track follow-up progress.
3. Receive Approval or Non-Approval documentation from Sponsor. Approval or Non-Approval can be in one of the following formats: Email, Formal Letter, Award Modification or Request to supply Agreement Modification.
• For Non-Approval:
3.1. Notify PI and RA of non-approval.
3.2. Update Activation Folder by saving non-approval documentation in the folder then moving the folder to the Miscellaneous Documentation folder in accordance with the Award Folder Structure and Naming Conventions Reference Document.
3.3. Update activation task by updating notes in the Notes field, changing Status field to "Canceled", changing Secondary Status field to "Completed- No Activation Needed", and updating the URL in the Task Folder Link field to the location of the Activation folder within the Miscellaneous Documentation folder.
• For Approvals received in the form of email or formal letter - proceed to Admin Execution of Adjustments.
• For Approvals received in the form of an Award Modification - proceed to Process Award Modifications.
1. Verify files required for activation are saved into the Activation folder (e.g., fully-executed modification, PI Approval, Budget, PDF copy of notification to sponsor or submission confirmation).
• Documents are required to follow the naming conventions documented on page 3 of the Award Folder Structure and Naming Conventions reference document.
• Budgets are required for funding changes (increase/decrease in funding and rebudgets) prior to activation. Budgets must clearly define the object codes in which funding should be adjusted.
2. Update the Activation task.
2.1 Change Status field to "Awaiting Verification".
2.2 Change Secondary Status field to "In Progress".
2.3 Update Notes field (EX. 05/16/10 TS: Fully executed mod emailed to sponsor and ready for verification review).
Note: For award changes where the prior approval requirement is waived and sponsor notification is not required, the AMT GCO is required include a statement in the Notes field denoting their approval.
Statement Format: <DATE> <INITIALS>: “I approve the processing of this award change which requests <ACTION BEING REQUESTED>.” (EX. 04/16/14 TS: I approve the processing of this form which requests account ABC1234 to be put on at-risk status for time only through 10/31/10.)
2.4 Update Activations Instructions field to clearly identify actions/changes required in Coeus and Advantage to process the change (EX. 4/16/14 TS: Increase budget $50,000 and extend project end date to 12/31/14.).
2.5 Complete final review of task to verify steps 1 and 2 are complete.
2.6 Click OK.
3. The AMT GCO should then refer to WI-AS-40 to complete verification review.
1. Verify the modification reflects the changes requested on the OAF or proposal and review for any additional changes. AMT GCOs should always review the following prior to administering the modification:
- Period of Performance
- Cost Share
- Administrative Changes
- Additional Terms and Conditions
1.1. Budget/Cost Share Review. For budget adjustments, review current awarded budget and cost share. If modifiction is increasing/decreasing budget, confirm if additional cost share adjustments are required. If so, contact the PI/department prior to reaching out to the sponsor.
1.2. Additional Terms and Conditions. If modification contains additional terms and conditions, review the Negotiation Guidance Tool to determine if clauses are acceptable. If unable to make a determination, contact ProposalsandNegotiations@asu.edu requesting additional guidance. Update the secondary status in the Activation Task to “Awaiting PNT Action” until the review by PNT has been completed.
2. Determine whether ASU signature is required.
Yes - Proceed to next step.
No – Proceed to Admin Execution of Adjustments.
3. Obtain PI approval. PI approval is only required for modifications which weren’t initiated through the OAF process. For modifications requiring PI approval, use email template “Request PI to Review and Approve Amendment” found in folder ACCTG > Award Monitoring and Change > Modifications. Update activation task by changing the Secondary Status field to "Obtaining PI Approval".
4. When PI approval is received, upload PDF of approval to the Activation folder and name the document “<Account> AW Mod <#> PI Approval”.
5. Request ASU Signature for modification and update the Activation task and Activation folder.
Secondary Status: Change to "Obtaining ASU Signature" for modifications requiring the AMT AD's signature. The AMT Student Workers monitor tasks in this status and will manage the process for obtaining the AMT AD's signature. Otherwise, the Secondary Status of "In Progress" should be used in the event the AMT GCO is obtaining the AMT AD's signature.
Note: When modification requires General Counsel signature, such as for Inter-Governmental 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 OGCmail@asu.edu. If routing hard-copy, General Counsel Office is located in the Fulton Center, 3rd Floor, Room 335. Update the notes to indicate obtaining ASU GC signature.
Notes: Review the notes and verify a statement is present addressing the following items: modification was reviewed and no issues were found or all issues have been resolved; PI approval on file, and modification is ready for AD signature.
Transmittal Instructions: Add instructions explaining who, where and how the modification should be sent. The Students will use these instructions to distribute the modification on the AMT GCO's behalf.
Follow-Up Date: Update if sponsor follow-up is required after ASU Signature is obtained.
Activation Folder: Verify the PDF copy of PI Approval (if required); Budget (for funding changes) and 1 copy of modification is saved. All documents must follow the naming conventions.
6. For partially-executed modifications which only show the ASU signature, Student will change the Secondary Status field to "Obtaining Sponsor Signature/Approval". AMT GCO is responsible for sponsor follow-up this should occur at least every two weeks via email or phone, copying RA as necessary. Update Notes and Follow-Up Date fields in the activation task to track follow-up progress. Once fully-executed modification is received, AMT GCO or Student can proceed with Admin Execution of Adjustments.
1. Go to SharePoint Student Dashboard or Award Modifications tab within the Activations site.
2. Review tasks with Secondary Status of "Obtaining ASU Signature" on a daily basis.
3. Prepare modification for ASU Signature.
3.1. Open task, in View mode, click the URL to the Activation folder.
3.2. Locate modification requiring ASU Signature and add AMT AD's Full Name and Title to signature block of modification. If modification is in hard-copy, use AMT AD's stamp.
3.3. Print modification.
3.4. Write Coeus Award Number on a Post-it note and attached to the modification.
3.5. Put modifications requiring ASU signature in a maroon folder and put in AMT AD's inbox.
4. AMT AD will review and sign modification, then return to Student Modification Inbox.
5. Scan signed modification into PDF and save in Activation folder. Use the following naming convention for the modification document <Coeus #> <PI Last Name> AW Mod <#>.
6. Return modification to sponsor per task transmittal instructions. Cover letter and/or email templates are saved in ACCTG > Award Monitoring and Change > Modifications folder.
• Modifications distributed via email should be sent from the Awards.Management mailbox. After opening the email template, go to the Options ribbon at top on email, click the Show From option, insert the Awards.Management@asu.edu email in the From field.
• For partially-executed modifications sent via email, save sent message in Activation folder. The sent message needs to be saved so the AMT GCO can reply from it when followup with the sponsor is required.
• For modifications that need to be sent via FedEx, follow the FedEx Job Aid for shipping instructions.
7. Update Activation task.
• For fully-executed modifications, follow procedures in Admin Execution of Adjustments.
• For partially-executed modifications, open task in Edit mode and update the following fields:
7.1. Change Secondary Status to "Obtaining Sponsor Signature/Approval".
7.2. Update Notes field to list date, your initials, and method for returning modification to the sponsor (e.g. 05/16/10 TS: Partially-executed mod distributed to sponsor via transmittal instructions.)
7.3. Update Follow-Up Date field, if blank, to two-weeks from day of distribution.
7.4. Complete final review of task to verify steps 1 through 7 are complete.
7.5. Click OK.
1. Using information on Post-it note attached to modification, open Activation task in view mode.
2. Review Notes field and Activation Folder 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. When issues have been resolved, sign modification and return it to the Student Modification Inbox.
Designated AMT GCO:
1. Review sections C and E of OAF, 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?
2. If the answers to all questions in step 1 are yes, then refer to section Admin Execution of Adjustments for further instructions.
3. If any of the answers in step 1 are No, then notify PI and RA and update task to reflect denial following instructions in step 3 of Obtaining Sponsor Approval/Notification.
At times, an AMT GCO may receive a request from a sponsor to complete a representation or certification form. When a GCO receives this type of request, refer to WI-SN-10.
1. Monitor the SPNmonitoring@asu.edu mailbox and the automated email notifications. 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 Additional Pay form on the RA SharePoint website and documentation supporting the sponsor’s written approval.
1.1. Initial Additional Pay Form Review:
- Sections A, B, C, and D are complete.
- Section E - all boxes are checked.
- PI has approved the additional pay form electronically.
1.2. Sponsor approval has been included:
- Proposal budget or budget justification page clearly denoting “honoraria/intra-university consulting/ instruction supplement/ stipend 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” for the employee shown on the additional pay form.
1.3. Request missing items:
- If something is missing, reply to the submitter, request the item be supplied within 3 business days.
1.4. 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-reoccurring 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 employee is 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 the activation folder.
- For ICS/ISP requests, log into PeopleSoft and search the employee ID in 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 non-exempt 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. 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 .
2. The additional pay smart form will route electronically for ORSPA approval.
2.1. Review the form and attachments. For requests which cannot be approved, clearly state the reason(s) for which the request cannot be approved, citing any appropriate policy or regulation, and return the smart form. It will electronically route back to the original submitter. Note that this will result in any previous approvals being removed. If resubmitted by the unit, the approval process will start over again. For approved requests, approve the smart form.
2.2. ERA INSTRUCTIONS:
Go to: Grants > Accounts > Filter by: Account: %[GR]# (from 310 form) > click “Go” > click on award under Award Number > click on Edit Award (link on left side of screen)
- Jump to: 7.0 Special Review*
- Check YES next to “Additional Pay” if it is not already checked
- Jump to: 7.5 Additional Pay ORSPA 310
- Click on Add under Additional Pay
- Complete all fields
- Add attachment(s) only if not captured in the RA SharePoint site.
- In the Notes field enter a note similar to: Reviewed and approved by [first initial, last name]. See RA O365 SharePoint website for backup documentation.
- Click Exit (Save Changes and Exit if necessary)
- *If unable to Jump to 7.0 Special Review:
- Complete all red * fields with best guess
- Take a Snip-it of all fields that you changed and email to assigned GCO, ask him/her to review and correct the changes if needed
To review your entries: click on “Printer Version” on the left of the Awards screen and scroll to section 7.5.
Sources: ACD 510-02, ACD 510-04, SPP 404-02, RSP 502-01, U.G. 2 CFR Part 200 §200.430
1. Refer to "Allocation of Costs between Interrelated Projects" section within Sponsored Projects Allowability Job Aid for review procedures.
2. AMT GCO is to make a determination 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 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."
3.1. To document the approval, refer to New Award Setup Process Instructions.
4. For non-approved forms, refer to step 3 in Obtain Sponsor Approval/Notification section for processing.
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.
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.
1. Monitor SPNmonitoring@asu.edu 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.
3.1 For approved requests, send email to department contact giving approval to submit a PTR.
3.2 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).
4.1. For approved requests, click “Approve PTR” in PeopleSoft and enter approval information when the comments box appears. Example: Approved by [AMT GCO] on [date].
4.2. If applicable, for denied requests, click “Return PTR” button and enter reason when the comments box appears. Example: Denied by [AMT GCO] on [date] due to [reason for disapproval].
4.3. Capture AMT GCO/GCS’s approval or denial in ERA under “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).
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 back up documentation for compliance with section 200.464 of Uniform Guidance.
3. Notify FOT GCO of allowance disposition.
3.1. For approved requests, reply to the email the request is allowable and a PTR can be processed.
3.2. For denied requests, reply to the email citing why the request cannot be approved.