Home | Process | Manage Subawards | Invoicing

Responsibility: ORSPA-AMT
Prepared by: AMT
Work Instruction Number: WI-MS-80

Purpose

To document the process for receiving, reviewing, and processing subaward invoices.

Tools and resources

  • Access to ERA, Workday and SharePoint
  • Access to AMT Subawards inbox: Outlook > Public Folders > All Public Folders > Departments > Research Administration > ORSPA Awards Management > Awards.Management > AMT Subawards. Add to Favorites:
    • Right click on the “Awards.Management” folder and select “Add to Favorites”
    • Select “Options>>”
    • Select “Add subfolders of this folder” (Add all subfolders) and “Automatically add new subfolders” (Add all subfolders) then click “Add”
    • The AMT Subawards folder, and all subfolders, should now be visible

PNT monitors the [email protected] email box. Emails that are related to invoices will be moved to the AMT Subawards folder in [email protected]. AMT students review emails in the AMT Subawards folder.

Email Categories:

  • AMT Staff name
  • PI Approved
  • Needs GCO Review/response

Process

Initial invoice processing: obtaining PI approval and SCON number

  1. Scan invoice to pdf file if received as hard copy.
  2. Sort invoices in AMT Subaward public mailbox by the oldest received. Be sure to alphabetize and sort accordingly so no one is duplicating efforts.
  3. Open ERA Grants > Subawards >   Enter Subcontract Number: 18-458 or ASUB00000123. Then open the Subaward.
  4. Validate Invoice:
    1. Review invoice to ensure it contains required elements: certification statement (see below for ASU’s statement), signature, ASUB or 5-digit Subcontract #, billing period, current and cumulative billed, any required cost share and check for succession of numbers.
      1. ASU’s Certification Statement: “By signing this report, I certify to the best of my knowledge and belief that the report is true, complete, and accurate, and the expenditures, disbursements and cash receipts are for the purposes and objectives set forth in the terms and conditions of the Federal award. I am aware that any false, fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise. (U.S. Code Title 18, Section 1001 and Title 31, Sections 3729-3730 and 3801-3812).”
    2. If the invoice is inaccurate, send email back to the subrecipient describing changes needed. Email templates are in O365. Move email to subfolder (Returned). Go to step 1 to start on the next invoice.
    3. Compare Invoice and ERA to ensure POP of invoice and amount is available for payment. If ERA Amount Available is not showing enough to pay the invoice, check the grant in Workday on the Budget to Actuals report: Encumbrances and Reserves represents the funds available on the SCON.  If there is not enough balance available, check with GCO to determine if there is a modification to increase the subaward in process.
    4. Verify whether this is a final invoice. Finals should be clearly marked as Final, other indicators are a billing period that runs through the award end date. Move the invoice to the GCO Review folder so GCO can confirm closeout documents have been received. PI approval requests can proceed but invoice cannot be sent to AP until GCO confirms closeout documents.
    5. Obtained AMT GCO confirmation that written sponsor prior approval for issuance of the subaward was received from the designated sponsor representative per sponsor requirements.
  5. Determine if PI approval was received with the original invoice email. If yes, skip to 7.
  6. Request PI Approval:
    1. Type the following information in a RED on the pdf invoice in the top right-hand corner using font Arial Black, size 10:
      1. Grant number (GRnnnnn found on the ERA ACCnnnnnnnn)
      2. Purchase Order # (SCON-FY-nnnnnnnn)
      3. Invoice amount to be paid
      4. WIRE (For foreign subrecipients and approved domestic subrecipients, payment method is via wire transfer.)
    2. Review the ERA account for a Fiscal Delegate to receive the PI approval instead of the PI.
    3. Send invoice to PI for approval using standard PI Approval Request Email stored in O365.
      1. For a final invoice use the FINAL INVOICE PI Approval Request template
    4. Attach the invoice pdf file to the email.
    5. Copy an image of the invoice and paste into the e-mail between the body text and signature block using the Snipping Tool.
    6. Type initials below the signature block in order to keep track of who sent the emails to the PI.
    7. Be sure to send from [email protected] and bcc yourself. Send to PI and copy RA public mailbox or main RA contact if known as they can assist in obtaining PI signature.
  7. Move email from AMT Subawards:
    1. Verify that a SCON # is reflected in the ERA Purchase Order #. If Purchase Order reflects an SC #, move invoice to subfolder (SCON Pending). These can be sent for PI approval, but should be held in (SCON pending) until SCON is available and then can be sent to AP.
    2. If a SCON # is present, move the original invoice email including any other requests related to the email along with the request for PI approval to the subfolder (PI approval pending).
  8. Log Invoice in ERA:
    1. Perform activity “Manage Invoices” on the ERA Subaward.
    2. Click “Add” and insert invoice number, start and end dates, date on invoice, invoice amount and comments, “date, initials and sent to PI for approval”.
    3. If the invoice is final add “FINAL” to comments.
    4. Click “OK” twice.
  9. If a PI has not responded within 3 days, re-send the approval request email and invoice from the Pending PI approval folder noting in the subject line that it is a 2nd request. Save the 2nd request (bcc) in the subfolder (PI approval pending).

3rd attempt at obtaining PI approval

If PI approval is not received for invoice after two attempts, please send a 3rd request copying Heather Clark on the message, [email protected].

Request and receipt of subaward closeout documents

  1. GCO receives Final Invoice in subfolder “GCO Review”.
  2. Open subaward notice of award and review Closeout section to determine which closeout docs are required (Closeout Form, Patent Report, Property Report)
  3. If required closeout documents were not received along with Final invoice send request to subrecipient requesting required documents and indicate payment will be held until received.
  4. Follow up once a week or more frequently if needed to expedite payment.
  5. Once documents are received, save them to ERA using the Manage Closeout Documents activity.
  6. Add comment to Final invoice in ERA “Closeout docs received”
  7. Once PI approval is received in subfolder “GCO Review” proceed by routing to AP per instructions below.

Receipt of PI approval and route to AP

  1. PI approval arrives in [email protected] or with original invoice email.
  2. Move PI approval email to subfolder “PI approval pending”
    1. For final invoices move email to subfolder “GCO Review”
  3. Forward email to AP at [email protected] or [email protected]. Ensure PI approval, invoice, etc. are attached.
    1. Be sure to include invoice data in email content and blind copy yourself. This copy will be moved to the subfolder (Completed actions).
    2. If the invoice is Final, confirm that closeout documents have been received by reviewing ERA invoice comments.
    3. If the invoice is past 20 days from invoice date or FINAL, indicate that IMMEDIATE payment is requested; this will prioritize payment. ASU standard is payment in 30 days or less.
  4. Move PI approval request, PI approval and send AP emails to the subfolder (Completed actions).
  5. Go into ERA Subawards and perform activity “Manage Invoices”
    1. Click “Update” for the corresponding invoice.
    2. Update the date sent to AP.
    3. Update the notes to reflect PI approval was received and invoice was sent to AP.
    4. An invoice copy may be saved in the “Invoice Document(s):” section. AP will save the copy to Workday when it is entered for payment.

Emails requesting a response

The AMT Subawards folder must be checked regularly for emails requesting a response. There may be daily requests from subrecipients inquiring about payment status, or AP may have questions regarding an invoice. The goal is to manage inquiries daily with responses back within 48 hours. Once an email is responded to, it should be moved to the subfolder (Completed actions).

Priority payment invoices

In some cases, payment needs to be expedited. The AD will approve expedited payment processing and possibly create the Outlook rule instead of RTS. An e-mail is sent to RTS to set up a forwarding rule to the AMT GCO Liaison. The forwarding rule should include the sender’s e-mail or other identifying specific information. Once received by the AMT GCO Contact for that Grant, the invoice will be routed for approvals for IMMEDIATE payment.