Responsibility: ORSPA-PNT
Prepared by: PNT
Work Instruction Number: WI-MS-100
Execute and distribute modification
Types of modifications
There are four main types of subaward modifications:
- Scope of Work
- Subrecipient’s effort on the project has been modified and necessitates a revised scope of work.
- Period of Performance
- Subrecipient’s effort on the project necessitates an extension or reduction of time.
- Key Personnel
- Subrecipient or ASU’s Principal Investigator requires a replacement.
- Compensation
- Subrecipent’s effort on the project necessitates an increase or decrease in compensation.
For an overview of subawards and specific information about basic considerations, roles/responsibilities, as well as activities related to pre- and post-award activities, visit the Subawards sitelet.
Issuance of modification
1. Subawards GCO assigned to Modification Subaward Task will receive SharePoint notification of assignment. The task status will be “Initial Review/Pending Information.”
2. Subawards GCO reviews the activations folder against the Subawards Checklist (Item Numbers with an * next to them are required for modifications).
2.1. When one or more of the required documents are missing, the Subawards GCO will email the Research Administrator (RA) for the documents.
2.1.1. The task status will remain “Initial Review/Pending Information” until all documents are received to move forward with Subaward.
3. When all subrecipient documentation is received it will be saved in the Subawards SharePoint Folder. The task status will be updated to “Subaward In Progress.”
4. Subawards GCO will determine the modification type to be used: Types of Subaward Agreements and Amendments.
5. Once modification type has been determined, the Subawards GCO will draft the modification and send to Principal Investigator and copy the Research Administrator for approval: Subaward Modification – Request for PI Approval (Time Sensitive). The task status will be changed to “Pending PI Approval.”
6. Once approval has been received, the approval will be documented in the Subawards Task and the email will be saved in the subaward documentation folder in SharePoint.
7. Subawards GCO will send the modification to the Subrecipient for review and signature using the Subrecipient for signature – Modification email template. The task status will be updated to “Pending Subrecipient Signature.”
Note: If issuing a Unilateral Modification, Subrecipient signature is not required. Skip Step 7. and move forward with execute and distribute modification**
Execute and distribute modification
1. Subawards Student Worker will receive task and print out the signature page of the “Partially Executed Agreement or Modification” and first page of Subaward Task, paperclip together and provide to PNT Assistant Director (AD) for review and signature. Preparing Subaward Agreement for Signature –Visual Job Aid.
2. Once reviewed and signed by PNT AD, the fully executed modification will be provided back to the Subawards Student Worker to prepare for distribution.
3. Subawards Student Worker will replace the signature page of the “Partially Executed Modification” with the fully executed page and save outside the documentation folder in the modification subaward folder in SharePoint as the “Fully Executed Modification.”
4. Subawards Student Worker will send via email a copy of the “Fully Executed Modification” to the subrecipient and cc the PI and the RA’s and/or department using the Subrecipient Fully Executed Modification template email. A copy of this email will be saved in the subawards modification documentation folder in SharePoint.
5. Subawards Student Worker sends a request via the appropriate email template:
- Purchasing PO Modification Request
- Purchasing PO Modification Request – Reduction
6. Subawards Student Worker will receive confirmation of entered modification from Purchasing Point of Contact and save the email in the subaward modification documentation folder in SharePoint.
6.1. If a confirmation is not received within 48 hours of the email sent, the Subawards Student Worker will send a follow-up email and copy the Subawards GCO Lead.
7. Subawards Student Worker will update the Subaward module in Coeus and complete task.