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 Needed
Module/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 / Description
Sequence / 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 / Description
Sequence / 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 / Description
Sequence / 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).