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Last updated: 12/19/2022 - 12:02pm
PURPOSE

To provide guidance once an award is received and executed including:
     1) when and how and account is set up
     2) what to do if changes to the award are needed
     3) steps to take if additional project funds will be received

 

Acronyms

RA - Research Advancement Administrator

AMT - Award Management Team

FP - Funding Proposal

OCFR - The Office of Corporate and Foundation Relations has transitioned to three separate teams: Corporate Philanthropy, Foundation Development, and Writing Services. What was the OCFR website is now ASU Foundation Proposal Resources.

ASU - Arizona State University

 

ASUF - Arizona State University Foundation

ATF - After the Fact

ORSPA - Research Operations

PI - Principal Investigator

PNT - Proposal and Negotiation Team

ResOps - Research Operations 

KE - Knowledge Enterprise
For definitions, see Acronyms and Glossary page.

 

Post-Submission Activities/Follow-up 

For guidance on these topics, see the Pre-Award tab of this site.
 

Activations


What is the path from award to account set up?

There are two ways an award notice typically arrives:

  • Sponsor sends notice of award/agreement OR check/deposit/transfer directly to ASUF (per ASUF cover letter).
  • Award/Agreement or check goes to PI and RA forwards to ASUFoundationgrants@asufoundation.org.

Then:

  1. ASUF will review and engage ASU on clauses, as appropriate.
  2. ASUF requests ASUF Workday Account for Award
  3. ASUF negotiates and accepts the award.
  4. ASUF sends a copy of the notice of award or agreement to notifications@asu.edu.
    •  If only a check or wire transfer is provided, ASUF, if informed of the award, will request an ASUF Workday Account and send a note to notifications@asu.edu stating the amount of funding, ASUF account number, and ERA FP number.
    •  The Gift/Grant Acceptance team does not send notifications when funds are received, or deposits are made.
  5. AMT activates account.


When AMT sets up the account will it be for the full amount of the award?

Yes, AMT sets up the account for the full amount.


If award or check received by PI/Unit/RA where should these be sent?

ASUFoundationgrants@asufoundation.org with the FP number included in the email.


Do RAs need to set up accounts on the ASUF side?

No.  ASUF handles the ASUF account setup.


Do RAs need to do anything on the ASUF side to effect the transfer of funds from ASUF to ASU?

No.   Cash Management (CMT) has the ability to draw funds directly from the ASUF accounts and post to the ASU sponsored account (a GR/Grant account in Workday). ASU Foundation cannot request transfers from ASUF Workday Accounts to GR/Grant accounts in Workday. For additional information see: https://researchadmin.asu.edu/working-with-asuf/post-award


Will RAs be notified when funds arrive?

No.   OCFR does not notify units when funds arrive or deposits are made. However, units can send a message to epfinance@asuep.org to let EP Finance know that funds are expected. If the unit notifies EP Finance that funds are expected to come and who the sponsor is, EP Finance will respond to the ticket with a notification to the sender when the funds arrive.

  • ASUF Accounting (EP Finance) sends a monthly report to KE with the accounts and their balances
     

Execute Project

Has the sponsored research office been approved as a service center?

Yes, Sponsored Management Solutions and Support (SMSS) has been approved by Financial Services as an external sales unit. Fiscal Oversight has approved rates to be charged to charitable/industry sponsors. SMSS has been added to the Recharge Center list: https://researchadmin.asu.edu/recharge-centers/center-information.

How will KE charge SMSS costs to grants?

Knowledge Enterprise (KE) will charge the Grant directly via the Internal Service Delivery (ISD) functionality in Workday. Rates will be coded to Services.

What level of oversight is needed for unit-level administrative expenses on a charitable grant?

ASU treats charitable grants as “different purpose and circumstance”; therefore, barring any sponsor or grant restrictions, the grant expenditures fall under general University policies. Therefore, proper stewardship of charitable grants requires adherence to these three key principles:

·    A benefit exists to the sponsored project

o Administrative expenses that benefit charitable grant projects should be charged directly to those awards, if allowable.

·    Allowable under ASU policies

o Any potentially problematic expenses should be reviewed by the Lead Financial Unit prior to expending funds.

o Unit guidance and policies may be more restrictive on specific expenses than those of the University, and it is important that investigators and ASUF Development Officers (DODs) involve their unit research advancement (RA) contact when determining the allowability of an expense.

·    Compliant with the terms and conditions of the award

o Charges on charitable grants require the careful review of terms and conditions and any other supporting documentation (e.g., approved budget, sponsor guidance) in order to determine appropriateness of charges.

o Specific sponsor approval may also be required in some cases.


What steps should be taken if changes are needed to the account/award?

The RA should follow the instructions for making changes in the Execute Project Work Instructions, using the Award Change Request activity in ERA, as appropriate.

  • Research Operations/ORSPA will follow up with funders, submit award change requests (i.e. no-cost extensions, rebudgets), and submit financial reports and progress reports directly to funders with the exception of donors that are to be contacted by ASUF only.

  • ASUF approval is not required on report submissions or change requests, however, ASUFoundationgrants@asufoundation.org should be copied. 


What steps should be taken when new or additional funds are received for a charitable grant where ASUF is the awardee?

If ASUF receives the funds:

  • ASUF checks ERA Grants to verify a proposal for the award exists.
  • If there is  a proposal, ASUF processes the new funds; reviews award documents if any, contacts ASU's Pre-Award Services and donor as needed, obtains signatures if needed, and sends email to notifications@asu.edu for the account once the award is final.
  • If there is no proposal, ASUF reaches out to the unit to initiate one.   If ASUF isn’t sure who the unit is, they may reach out to RAhelp@asu.edu for assistance.   Once there is a proposal in ERA, ASUF processes the new money; reviews award documents if any, contacts KE Research Operations and donor as needed, obtains signatures if needed, and sends email to notifications@asu.edu for the account once the award is final. 

If ASU receives the funds:

  • Notify ASUFoundationgrants@asufoundation.org  and Angela Vasquez that the notice of award or check has arrived at ASU. Please note that all charitable grants and gifts should be made payable to ASU Foundation for A New American University.
  • Check ERA to verify a proposal for the award exists. If a proposal exists include the ERA proposal number in the email.  
  • If a proposal does not exist inform ASUF that an ERA proposal needs to be initiated.  ASUF will reach out to the unit to initiate it.  If ASUF is not sure who the Unit is, they may reach out to RAhelp@asu.edu for assistance. 
  • Once a proposal is in ERA, ASUF processes the new funds; reviews award documents if any, contacts Research Operations and donor as needed, obtains signatures if needed, and sends email to notifications@asu.edu for the account once the award is final.
  • If Research Operations receives a check, Research Operations will deliver the check to ASUF.     
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