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Post Submission Actions
Responsibility: ORSPA-PNT
Prepared by: PNT
Work Instruction Number: WI-SN-40

ERA is ASU's official system of record for submitted funding proposals. To the extent possible, Funding Proposal sites (FPs) in ERA should match the information the sponsor has received. It is important to note that sometimes changes to the FP might be required after a proposal is already in the "Submitted - Pending Sponsor Acceptance" state. If RAs need to make changes in ERA to a submitted proposal, there are two activities that can be run in ERA:

  1. SPONSOR CHANGE REQUESTED - This option is used when responding to a Sponsor request to make changes to the proposal. This option is also used for PI-initiated requested that will need to be reviewed/endorsed by a Proposal GCO and submitted to the sponsor for consideration prior to award.

  2. ASU POST SUBMISSION CHANGE REQUESTED - This option is used when responding to a PI/Unit's request to make internal changes to the FP which will not be reviewed/endorsed by a Proposal GCO and will not be submitted to the sponsor for consideration prior to award (i.e. change in Lead Financial Unit, changes to Investigator Allocations, etc.)

To learn how to manage the different types of post submission actions, RAs should review the Work Instructions below.

RA WORK INSTRUCTIONS

SPONSOR CHANGE REQUESTED - Non-Budgetary Post-Submission Request in ERA (In Response to Proposal, Prior to Awarded)

SPONSOR CHANGE REQUESTED - Post-Submission Budget Revision Request in ERA (In Response to Revised Budget Requested by Sponsor, Prior to Awarded)

ASU POST SUBMISSION CHANGE REQUESTED - Post-Submission Request in ERA (In Response to Revised Budget Requested by Agreements GCO, Prior to Awarded)

ASU POST SUBMISSION CHANGE REQUESTED - Post-Submission Change in ERA (Internal Changes Including Investigator Allocation Changes, Prior to Awarded)

U-CHECK - Post-Submission Targeted Review of the ERA Funding Proposal (FP) In Preparation to Receive an Award


If an RA receives post submission request from Sponsor or PI (which will require review/endorsement and submission to the sponsor by a Proposal GCO), proceed to Step 1. If ORSPA receives the request, proceed to Step 2.

  1. The RA will run the activity  alerting the GCO who submitted the proposal.
  2. The GCO will run the activity  which changes the state to . The system will send a notification to the RA alerting them to the request. This will allow the RA and GCO to upload revised documents to the Funding Proposal and update the budget.

  3. The RA and GCO will determine which items are the responsibility of the GCO and which are the responsibility of the RA.

  4. Once in the state of  the RA will communicate with the GCO using

  5. The RA will send the completed sponsor documents to the PNT GCO using the activity

  6. RAs should not run the activity . Doing so will cause the proposal to leave the PNT GCO’s My Inbox and may cause the Sponsor Request to be delayed. Once all sponsor requested changes have been made and the sponsor has received the updated information. The PNT GCO will run the activity

 

Follow the instructions in above.

After a Funding Proposal (FP) is submitted, RAs can continue to execute the "Copy a Budget for Simulations and Post Submission Changes" activity at any time regardless of the current state of the FP in ERA. However, simulation budgets should only be promoted to the Current Sponsor Budget if one of the following apply:

  1. The current budget in ERA does not match the final budget submitted to the sponsor (for non S2S submissions).

  2. The Sponsor requests a revised budget prior to issuing an award.

To create a budget for post-submission changes:

  1. Navigate to the Simulation Budget 1
  2. Click on the drop-down menu under Simulation Budget 2
  3. From the drop-down menu select Simulation Budget 3
  4. Once all the budget changes have been made, navigate to the appropriate simulation budget.
  5. Click on the drop-down menu under Simulation Budget 4
  6. From the drop-down menu, select, Simulation Budget 5

If a budget change is needed after the Funding Proposal is moved to the Awarded state, RAs should manage the budget change outside of the system. Remember that once a proposal is moved into the awarded state, RAs should not change the ERA FP.  Instead, RAs should follow the process for managing change in the execute project phase of the sponsored project lifecycle.  

Other Important Considerations When Using Budget for Simulations and Post-Submission Changes

  • Promoting a simulation budget to the Current Sponsor Budget does not affect institutional reporting on proposal activity. Institutional reporting is based on the Submitted Budget.

  • Units needing to create a simulation budget for post-award planning purposes can also create a proposal template in ERA. For instructions on how to create proposal templates refer to the ERA Funding Proposal Guide – Pre-Proposal Additional Information page.

 

ASU POST SUBMISSION CHANGE REQUESTED - Post-Submission Request in ERA (In Response to Revised Budget Requested by Agreements GCO, Prior to Awarded)

If ASU received an agreement that requires review and execution by an Agreement GCO, but the budget included in the agreement does not match the current budget on the Funding Proposal site in ERA, the Agreement GCO will ask the RA owner to update the budget accordingly. For this type of request (and for this type of request only), the RA does not need to run the "Post Submission" activity in ERA.

To respond to the Agreement GCO's request, the RA will only need to create a simulation budget for post-submission changes by doing the following:

  1. Navigate to the Simulation Budget 1
  2. Click on the drop-down menu under Simulation Budget 2
  3. From the drop-down menu select Simulation Budget 3
  4. Once all the budget changes have been made, navigate to the appropriate simulation budget.
  5. Click on the drop-down menu under Simulation Budget 4
  6. From the drop-down menu, select, Simulation Budget 5
  7.  Let the assigned Agreement GCO know the changes have been made.

If a budget change is needed after the Funding Proposal is moved to the Awarded state, RAs should manage the budget change outside of the system. Remember that once a proposal is moved into the awarded state, RAs should not change the ERA FP.  Instead, RAs should follow the process for managing change in the execute project phase of the sponsored project lifecycle.  

Other Important Considerations When Using Budget for Simulations and Post-Submission Changes

  • Promoting a simulation budget to the Current Sponsor Budget does not affect institutional reporting on proposal activity. Institutional reporting is based on the Submitted Budget.

  • Units needing to create a simulation budget for post-award planning purposes can also create a proposal template in ERA. For instructions on how to create proposal templates refer to the ERA Funding Proposal Guide – Pre-Proposal Additional Information page.

 

ASU POST SUBMISSION CHANGE REQUESTED - Post-Submission Change in ERA (Internal Changes Including Investigator Allocation Changes, Prior to Awarded)

1. If an RA receives post submission requests from the PI, Unit or other Investigator to change allocations or investigator(s):

1.1. The RA will run the activity which changes the state to .

This will allow the RA to edit the Funding Proposal and change investigators and/or allocations.

1.2 Once changes are made, if Department Reviews are incomplete, the RA should review the Dept Reviewers tab to determine what steps are needed:

1.2.1 If no affected reviewers have completed their review AND no new Investigator/Approver/Unit/Center is affected, proceed to step 1.5.

1.2.2. If any Investigator/Approver/Unit/Center is added to the proposal AND no affected Investigator/Approver has completed their review, use the activity to include all new Investigators and/or appropriate Department/College/Center approvers.

1.2.3. If any reviewers who are affected by these changes have completed their review, proceed to step 1.3.

1.3 If Department Reviews are complete or there are investigators/approvers who have already completed their review and are impacted by these changes, the RA should run the activity The previous review will be archived.

1.4. The RA can run the activities and to capture approval for the new changes. Any reviewer who is unaffected by the changes should be removed prior to the RA submitting for Department Review.

1.5 After Department Reviews are complete, the RA must run the activity . Doing so will cause the proposal to leave the RA's My Inbox and will revert back to the state .

1.6 If it is necessary that the Sponsor be notified of the change(s), the RA must run the activity to request assistance or action from the assigned GCO.

*NOTE: An ASU Post Submission Request cannot be made to a proposal in an awarded state in which case the RA will need to prepare an Investigators and/or Allocation Change (IAC) form and obtain approvals by e-mail from all impacted investigators, departments, and colleges.

 

U-CHECK - Post-Submission Targeted Review of the ERA Funding Proposal (FP) In Preparation to Receive an Award

A unit-level check, or U-CHECK, is a recommended targeted review of the Funding Proposal in ERA designed to identify and remove any administrative roadblocks than can prevent PIs from starting  work on a sponsored project. A U-CHECK is an important process because it:

  1. Reduces administrative burden for both, units and central office.

  2. Helps expedite the activation process.

  3. Minimizes award activation inaccuracies.

  4. Reduces delays on the project.

Units can conduct a U-CHECK at any time prior to the receipt of an award. As best practice, units are encouraged to conduct a U-CHECK:

  • 60-90 days before the expected start of the project (depending on size and complexity); or

  • As soon as ASU receives a Post-Submission request from the Sponsor.

The goal of U-CHECK is to complete all administrative actions with enough time to allow work on the project to start on time.

As part of U-CHECK, units are encouraged to review the FP to:

  1. Identify and resolve any issues that delay award activations. Example: incomplete Department Reviews, missing Workday information, pending special reviews.

  2. Identify and resolve any issues that delay spending. Example: issuing subawards, creating child account for Co-PI.

To help units conduct U-CHECK, a tool was developed and is available here. If as part of U-CHECK you need to:

 

Communicate award set-up information to the AMT Award Activation GCO:

1. Complete page two of the U-CHECK tool.

2. Run the Notify PNT action in ERA and upload the completed form.

3. In the comments of the Notify PNT text box, include the following note: This Funding Proposal has been verified by the unit. All information is accurate, complete and can be used to activate the award. Please upload the attached form to the "Notes to AMT" field of the funding proposal."

 

Make changes to the Funding Proposal in ERA:

1. Follow RA Post Submission Action Work Instructions included above.

 

PNT WORK INSTRUCTIONS

This Work Instruction contains the following sections:

Post Submission Task Definition & Types

Representations and Certifications

At-Risk Pre-Award Requests

Post Submission Request Processing

Post Submission Task Definition & Types

Requested actions of Pre-Award Grant & Contract Officer (GCO) and Research Administrator (RA)/ Principal Investigator (PI) following proposal submission and prior to receipt of formal notice of award for review and/or negotiation. The period of time after submission of a proposal and before receipt of an award or receipt of notification to fund or deny funding will vary.

In situations where the sponsor indicates an intent to fund - also referred to as notice, NOGA (Notice of Grant Award), NOA (Notice of Award) – the proposal GCO should upload the document to the affiliated ERA Grants site and update the site to Award Anticipated using the  action.

Post Submission actions may involve any of the following:

REPRESENTATIONS AND CERTIFICATIONS

1. Representations and Certifications – At times, a 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.

At-Risk Pre-award Requests

1. At-Risk Pre-Award Requests - Refer to Processing Pre-Award and Post-Award At-Risk Requests Job Aid.

Post Submission Request Processing

1. If a GCO receives post submission request from Department or Sponsor

1.1. The GCO or RA can run the activity  which changes the state to .

The system will send a notification to the RA alerting them to the request. This will allow the RA and GCO to upload revised documents to the Funding Proposal and update the budget.

1.2. The RA will manage, sharing with the GCO as appropriate including status updates, form completion, etc.

1.3. The RA will send instructions regarding the completed sponsor package to the PNT GCO using the  action. PNT GCO will review and manage.

1.4. Once all sponsor requested changes have been made and the sponsor has received the updated information. The PNT GCO will run the  action. ERA automatically changes application state from  to .

NOTE:

• Post Submission requests are managed by the GCO who submitted application unless GCO requests reassignment to ensure timely processing.

• After running  activity ERA automatically changes application state from  to .

• The first time ERA activity  is run for a proposal, the RA and GCO are automatically notified by email. When the ERA activity is run subsequently, the RA and GCO are notified by updates to their ERA “My Inbox”.

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