Managing Award Modifications
Desk Procedures
Overview 5
Roles and Responsibilities Applicable to Business Process 7
Financial Policies and Procedures 8
Received Request for Award Modification 9
Roles Applicable to Sub Process 9
Generate Modification Request 10
Modification Request Received 10
Negotiate Award Note (Mod Request Received) added to A-Version of Contract 11
Review Modification Request (PRF or Add’l Information needed?) 12
Negotiate Award Note (PRF Requested) added to A-Version of Contract 13
Request PRF from Academic Unit 14
Negotiate Award Note (Add Info) added to A-Version of Contract 14
Request More Information 15
Negotiate Award Note (Add Info) updated to A-Version of Contract 15
PI Review and Terms Negotiations 16
Roles Applicable to Sub Process 16
Review Modification Request for PI Review 17
Negotiate Award Note (To PI for Review/Approval) added to A-Version of Contract 17
Negotiate Award Note (To PI for Review/Approval) updated to record details 18
PI Approval or Issues Noted by SPA GA 18
Review Modification Request for Terms of Agreement Negotiations 18
Negotiate Award Note (Mod Negotiation) added to A-Version of Contract 19
Communicate Negotiation Points to Sponsor 20
Negotiate Award Note (Awaiting Sponsor Action) added to record date and notes 20
Negotiate Award Note (Awaiting Sponsor Action) updated to record details 21
Negotiate Award Note (Mod Negotiation) added or updated to record details 21
Perform Compliance Review (if necessary) 22
Roles Applicable to Sub Process 22
Perform Compliance Review 23
Communicate Compliance Issues to Dept 23
Negotiate Award Note (Compliance Check) added to record date and Action Items needed 24
Record Compliance Review Information 25
Negotiate Award Note (Compliance Check) added to record date complete 26
Institutional Approval Required? 27
Institutional Review and Approval 28
Roles Applicable to Sub Process 28
Negotiate Award Note (Inst. Appr) added to A-Version of Contract 29
Submit for University Authorization 30
Review Modification Request 30
Make Decision and Communicate Response for Modification Request 30
Negotiate Award Note (Inst. Appr) updated to A-Version of Contract 30
Request Approved by Institution? 31
Sponsor Approval Required? 31
Modification Request NOT approved by Institution 32
Roles Applicable to Sub Process 32
Distribute Response to Academic Department 32
Send Physical File of Modification Request to Files 32
Sponsor Review and Approval Required 33
Roles Applicable to Sub Process 33
Negotiate Award Note (Awaiting Sponsor Action) added to A-Version of Contract 34
Submit for Sponsor Approval 35
Provide/Submit Requested Information to Sponsor 35
Negotiate Award Note (Awaiting Sponsor Action) updated to A-Version of Contract 35
Additional Changes Required to Award Modification? 36
Award Modification Request Approved 37
Roles Applicable to Sub Process 37
Negotiate Award Note (Contract Entry) added to A-Version of Contract 38
Consolidate Physical File and Route to Contract Entry 38
Award Modifications Contract Entry 39
Roles Applicable to Sub Process 39
Run Management Report for Contract Entry 40
Retrieve Physical File Located in Contract Entry Area 43
Negotiate Award Note (Contract Entry) added to record date and Name of Employee 43
Update Additional Info ‘Previous Award’ 44
Manually update A-Version status to Awarded (not generated) 47
Update Existing Award (Related Proposal) 48
Award Modification Recorded 50
Award Modification: Program Income 51
Award Modification: Mod to Award Profile 51
Award Modification: Update Projects 51
Award Modification: Update (KK) Budget Controls and Status 52
Award Modification: Add New Projects 54
Award Modification: Update Contracts 54
Award Modification: SubAward Needed 54
Negotiate Award Note (Contract Entry) updated to A-Version of Contract 55
Negotiate Award Note (NOGA Generation) 56
Adding New Projects to Existing Award 57
Roles Applicable to Sub Process 57
Create New Project 58
Define Project Departmental Information 61
Assign Project Team 61
Assign Project Activity 61
Assign F&A Rate and Base 62
Add Project to Existing Contract 62
Update Contract Billing Limit 63
Create New Project Budget Plan 64
Create and Finalize New Project Budget and Update Commitment Control 65
Assign Project Chartfield Attributes 65
Contract Amendments 66
Roles Applicable to Sub Process 66
Access the Contract Page to be Amended 67
Update Existing Contract 68
Create New Contract Amendment 69
Process Multiple Amendments 81
Process Multiple Amendments 81
NOGA Generation 83
Roles Applicable to Sub Process 83
Generate Notice of Award (NOGA) 84
File Modification Request and response or other documentation 85
Distribute NOGA to PI and Academic Unit 86
Negotiate Award Note (NOGA Generation) updated to A-Version of Contract 86
Overview
The Award Modifications process consists of both manual sub processes and sub processes where data entry is completed in the Financial System. Financial System entry begins with the Grants module and the updating of existing awards.
The Grants Module supports the key business processes that are associated with the administration; management and reporting of sponsored research activities. It is not a standalone application, as it leverages functionality from the Contracts, Project Costing, General Ledger, Commitment Control and Billing modules to provide a fully integrated management solution.
Grants Integration Overview
Illustrated below is a graphic of the Grants Financial System module integration.
This document will walk the user through all of the sub-processes that are associated with the Managing Award Modifications Business Process.
Ø Received Request for Award Modification
Ø PI Review and Terms Negotiations
Ø Perform Compliance Review
Ø Institutional Review and Approval
Ø Modification Request NOT approved by Institution
Ø Sponsor Review and Approval Required
Ø Award Modification Request Approved
Ø Award Modifications Contract Entry
Ø Adding New Projects to Existing Award
Ø Contract Amendments
Ø NOGA Generation
Frequency / As NeededModule/Tables / Grants, Projects, and Contracts
Documents Used / Proposal or Modification Requests
Approval Points / Institutional and Sponsor Approval
Roles and Responsibilities Applicable to Business Process
Received Request for Award Modification – Grant Administrator
PI Review and Terms Negotiations – Grant Administrator
Perform Compliance Review – Grant Administrator
Institutional Review and Approval – Grant Administrator and SPA Managers
Modification Request NOT approved by Institution – Grant Administrator
Sponsor Review and Approval Required – Grant Administrator
Award Modification Request Approved – Contract Entry
Award Modifications Contract Entry – Contract Entry
Adding New Projects to Existing Award – Contract Entry
Contract Amendments – Contract Entry
NOGA Generation – SPA Support Staff
Financial Policies and Procedures
TBD
Received Request for Award Modification
Requests for Modification can originate from a number of external and internal sources and take a variety of forms (agency approval required, bilateral modification, unilateral modification from the sponsor, University approved extension, administrative change only).
Examples of modification requests include: updating legislation and/or Federal Acquisition Regulations (FAR) clauses, allotting incremental funding, noncompeting continuation awards, increasing/decreasing the funded amount, changing the period of performance dates, lifting a restriction, request for carry forward, change in PI, supplements, agency approved re-budgeting, internal awards, correction to the terms, F&A rate or amount of an award.
Roles Applicable to Sub Process
· Central Administration/SPA Support Staff
Generate Modification Request
Detailed description: The Grant Administrator may initiate and generate modification requests on behalf of the University, which must be submitted to the Sponsor for approval.
Modification Request Received
Detailed description: Modification requests are received by the Grant Administrator. Award modifications that do not require a proposal will utilize the A-Version of the original proposal to track modifications.
Negotiate Award Note (Mod Request Received) added to A-Version of Contract
Detailed description: The Grant Administrator (GA) will add a Negotiate Award Note of “4ModA Mod Request Received” in the Financial System. The Negotiate Award Notes are utilized to monitor and record the status of a negotiation.
1. Navigate to the Negotiate Award Page –
Navigational Path: Grants > Awards > Negotiate Award
Field Values and Descriptions for the Negotiate Page
Field / Values Entered / DescriptionSequence / Defaults (with each “+” additional note) / The Sequential Number value of the Negotiate Award Note. As each note is added the “next” number is assigned to the note.
Event Date / Current Date / Date the Negotiate Award Note was added.
Negotiation Type / 4ModA Mod Request Received / This field is the specific type of negotiation that is being worked for Award. Provides a status of what negotiation type (Action Item) is being processed within the “Award Set Up” Business Process.
Negotiate Status / Working Negotiation / This field works with the Negotiation Type as it shows the negotiation processing status. The are 2 valid values “Working Negotiation” and “Completed Negotiation”
Comments / Document the Action Item needed and details / This box is to document the “Action Item” needed to complete the negotiation. Add detailed comments regarding the Action Item. NOTE: These Comments will appear on the Proposal & Award Tracking Reports.
Name / Name of Contact for Negotiation / This field is for the name of the person that was given the “Action Item” to complete the negotiation.
Title / Job Title / Job Title of the person that was given the “Action Item” to complete the negotiation.
Telephone / Phone Number / Telephone number of the person that was given the “Action Item” to complete the negotiation.
Fax / Fax Number / Fax number of the person that was given the “Action Item” to complete the negotiation.
Email ID / Email Address / Email ID of the person that was given the “Action Item” to complete the negotiation.
2. Click the “+” plus button to add a new Negotiate Award Note (if applicable).
3. Once all values have been entered, click the “Save” pushbutton.
Review Modification Request (PRF or Add’l Information needed?)
Detailed description: The Grant Administrator will perform an Initial review. A determination is made whether the request requires a new proposal (PRF) or any additional information. If a proposal is required the process will revert to the proposal processing business process. If additional info is required a request will be made to the department.
Checking for the PRF ensures that a proposal exists in the Financial System, which can be linked to an existing award.
Negotiate Award Note (PRF Requested) added to A-Version of Contract
Detailed description: The Grant Administrator (GA) will add a Negotiate Award Note of “4ModB PRF Requested” in the Financial System. This indicates that a request has been made to the PI/Academic Department to complete a PRF Form for the modification. The Negotiate Award Notes are utilized to monitor and record the status of a negotiation.
1. Navigate to the Negotiate Award Page –
Navigational Path: Grants > Awards > Negotiate Award
Field Values and Descriptions for the Negotiate Page
Field / Values Entered / DescriptionSequence / Defaults (with each “+” additional note) / The Sequential Number value of the Negotiate Award Note. As each note is added the “next” number is assigned to the note.
Event Date / Current Date / Date the Negotiate Award Note was added.
Negotiation Type / 4ModB PRF Requested / This field is the specific type of negotiation that is being worked for Award. Provides a status of what negotiation type (Action Item) is being processed within the “Award Set Up” Business Process.
Negotiate Status / Working Negotiation / This field works with the Negotiation Type as it shows the negotiation processing status. The are 2 valid values “Working Negotiation” and “Completed Negotiation”
Comments / Document the Action Item needed and details / This box is to document the “Action Item” needed to complete the negotiation. Add detailed comments regarding the Action Item. NOTE: These Comments will appear on the Proposal & Award Tracking Reports.
Name / Name of Contact for Negotiation / This field is for the name of the person that was given the “Action Item” to complete the negotiation.
Title / Job Title / Job Title of the person that was given the “Action Item” to complete the negotiation.
Telephone / Phone Number / Telephone number of the person that was given the “Action Item” to complete the negotiation.
Fax / Fax Number / Fax number of the person that was given the “Action Item” to complete the negotiation.
Email ID / Email Address / Email ID of the person that was given the “Action Item” to complete the negotiation.
2. Click the “+” plus button to add a new Negotiate Award Note (if applicable).
3. Once all values have been entered, click the “Save” pushbutton.
Request PRF from Academic Unit
Detailed description: The Grant Administrator requests (via email or telephone) from the PI/Academic Unit, a completed PRF Form for the Award Modification.
Negotiate Award Note (Add Info) added to A-Version of Contract
Detailed description: The Grant Administrator (GA) will add a Negotiate Award Note of “4ModC Add Info Requested” in the Financial System. This indicates that a request has been made to the PI/Academic Department for additional information. The Negotiate Award Notes are utilized to monitor and record the status of a negotiation.
1. Navigate to the Negotiate Award Page –
Navigational Path: Grants > Awards > Negotiate Award
Field Values and Descriptions for the Negotiate Page
Field / Values Entered / DescriptionSequence / Defaults (with each “+” additional note) / The Sequential Number value of the Negotiate Award Note. As each note is added the “next” number is assigned to the note.
Event Date / Current Date / Date the Negotiate Award Note was added.
Negotiation Type / 4ModC Add Info Requested / This field is the specific type of negotiation that is being worked for Award. Provides a status of what negotiation type (Action Item) is being processed within the “Award Set Up” Business Process.
Negotiate Status / Working Negotiation / This field works with the Negotiation Type as it shows the negotiation processing status. The are 2 valid values “Working Negotiation” and “Completed Negotiation”
Comments / Document the Action Item needed and details / This box is to document the “Action Item” needed to complete the negotiation. Add detailed comments regarding the Action Item. NOTE: These Comments will appear on the Proposal & Award Tracking Reports.
Name / Name of Contact for Negotiation / This field is for the name of the person that was given the “Action Item” to complete the negotiation.
Title / Job Title / Job Title of the person that was given the “Action Item” to complete the negotiation.
Telephone / Phone Number / Telephone number of the person that was given the “Action Item” to complete the negotiation.
Fax / Fax Number / Fax number of the person that was given the “Action Item” to complete the negotiation.
Email ID / Email Address / Email ID of the person that was given the “Action Item” to complete the negotiation.
2. Click the “+” plus button to add a new Negotiate Award Note (if applicable).