Change Management Board Newsletter

cmb newsletter

The Change Management Board Newsletter is a monthly feature that highlights upcoming improvements and other changes that will have a future impact on the Research Advancement Community but are still in the early stages of discussion, planning and/or review by the Change Management Board.

*Note: When a change or resource is implemented, we’ll let you know in a Research Operations News post.

What is the Change Management Board?

As part of the pursuit of quality and continuous improvement, changes and enhancements to existing ASU Research Operations processes and systems must go through a structured and formal change management review process. The KE Research Operations Change Management Board, or CMB, serves as the mechanism and forum to review, approve, implement and communicate changes and information that impact research operations.

Under the direction of Executive Director, Heather Clark, and facilitated by Natalia Diaz (Operations Project Management), CMB meets on a monthly basis and consists of representatives from all Research Operations teams as well as Research Advancement stakeholders. CMB members seek to represent their departments in these discussions, as well as to communicate updates and facilitate management of implemented changes within their units.

Are there members of the RA Community on the Change Management Board?

Yes, CMB has several representatives from the RA Community including:

I already subscribe to Research Operations News, why do I need to subscribe to the Change Management Board Newsletter too?

Subscription to the Change Management Board Newsletter is optional. The CMB Newsletter is recommended for members of the RA Community who want to get a first look at upcoming changes and improvements.

Research Operations News is the official method KE Research Operations uses to communicate process changes and improvements that are ready for implementation.

The Change Management Board Newsletter is a monthly feature that highlights improvements and other changes that are in the early stages of discussion, planning and/or review by the CMB. However, these items do not have an immediate impact on the RA Community as they are subject to change and are not ready for implementation.

CMB Newsletters

This month's CMB Newsletter Contributor: Samantha Munguia, Grant + Contract Officer, Principal - Research Operations
CMB Agenda Item Background Status & Contact
NEW ITEM! International Remote Work Questionnaire and Process Due to COVID-19, many faculty, staff, graduate students and postdocs cannot return to ASU and are required to work remotely outside of the United States. PNT has developed the “International Remote Work Questionnaire” in an effort to implement a standard process which would assist in the decision making process of allowing the faculty, staff, graduate students and postdocs to continue work on sponsored projects. Status: Discussion

CMB Rep: Clifton Fredericks

Members of CMB were provide with the draft of the “International Remote Questionnaire” for review/feedback. CMB members with suggested edits will be forwarded to Cliff. Final documents/process will be shared with CMB prior to implementation.
Subaward Invoicing There is a need to more closely track the receipt and correctness of subaward invoices. In addition, the system of PI review and approval of invoices will be scrutinized and changes will be considered for a cleaner process. AMT will work with certain units to pilot invoice approvals by PI or fiscal delegate in Workday. Status: Discussion

CMB Rep: Nicholas Petersen

Work Instructions for the Subaward Invoicing Pilot have been completed. AMT will provide the WI’s to CMB for review.
Investigator Allocations Change (IAC) Feedback New IAC workflow was implemented on January 27, 2020 as part of the Award Modification project. We are interested in feedback from the RA Community. Status: Completed

CMB Rep: Samantha Munguia

Feedback from the RA Community was compiled and sent to the appropriate Research Operations Team for review. After RO review, the list of enhancement requests will be forwarded to ERA Governance. RAS will restart ERA Virtual Office Hours in September. Upcoming enhancements to ERA will be discussed via ERA Virtual Office Hours and RA Blog.
Process to Request Account PI Currently there is not a standard process for units to request a child account where the account PI is different from the Award PI. Because of this, the child account PI may or may not have completed COI certification. Status: On Hold

CMB Rep: Samantha Munguia

RAS was able to test the process of removing and adding senior key personnel in the ERA testing environment. It was found that senior key personnel are listed on two separate sections of the award Smart Form 1.0 "Award Set Up" and Smart Form 7.0 "Special Reviews." Processing an award change  request to make changes to senior key personnel updated Smart Form 1.0 but not Smart Form 7.0. Smart Form 7.0 is the one that actually triggers the RIC. A bug has been created (BUG 10336) and is currently being worked by the BA Team. RAS will bring the item back to CMB once the bug has been resolved.
Audit Management Guidance External audits of sponsored projects are managed by the Fiscal Oversight Team. As management of audits has become more of a routine activity as the requests have increased, it was deemed advisable to document and refine the process for audit management and make the guidance available to the RA Community. Status: Approved

CMB Rep: Sarah Kern

Documents were sent to University Audit and Advisory Services for feedback. No edits or changes recommended. Documents forwarded to Operations PMO. FOT will be posting documents to Research Admin website soon and will let the RA Community know via the RA Blog.
Feedback: If you have questions or feedback regarding one of the listed topics, please send it to the listed CMB representative. For general feedback, kudos, or a topic to submit to the CMB please complete this brief form.
This month's CMB Newsletter Contributor: April MacCleary, Assistant Director of Research Advancement, IAFSE
CMB Agenda Item Background Status & Contact
NEW ITEM! Workday: Update ERA Award Budget Crosswalk Request from Fiscal Oversight Team to coordinate what is in Workday to match ERA budget travel categories. Status: Discussion

CMB Rep: Davin Nathanson

Changes users will see: remove object codes to match Workday ledger accounts; ERA budget category amounts for travel to match ERA (in-state, out-of-state, foreign). No ETA for this change yet. 
NEW ITEM! ERA Enhancement for Cost Share Module This is an ERA enhancement request based on focus group back in January.  Status: Discussion

CMB Rep: Davin Nathanson

ERA Team is looking into what is needed to implement suggested changes. No timeline for this change yet. 
NEW ITEM! Updating the I-129 Form The I-129 Form - Petition for Non-Immigrant Worker Form is being updated. Status: Discussion

CMB Rep: Heather Clark

CMB members have been asked to review the document and let Heather Clark/Jessica Robins know of any suggested changes.
NEW ITEM! Best Practices for Industry Sponsored Awards Industry-sponsored projects can pose unique challenges in administration. They are often of short duration, develop quickly with little advance notice and allow only minimal lead time in advance of sponsor expectations for project execution and completion of deliverables.  Status: Discussion

CMB Rep: Heather Clark

Research Operations Leadership currently reviewing the process to identify key stakeholders before moving forward with changes to present to CMB.
Subaward Invoicing There is a need to more closely track the receipt and correctness of subaward invoices. In addition, the system of PI review and approval of invoices will be scrutinized and changes will be considered for a cleaner process. AMT will work with certain units to pilot invoice approvals by PI or fiscal delegate in Workday. Status: Discussion

CMB Rep: Nicholas Petersen

Pilot still on hold. AMT is meeting with unit to discuss and agree process. AMT is working on draft RA Work Instructions for CMB to review.
Investigator Allocations Change (IAC) Feedback New IAC workflow was implemented on January 27, 2020 as part of the Award Modification project. We are interested in feedback from the RA Community. Status: Completed

CMB Rep: Samantha Munguia

RA Seminar was hosted on 07/28/2020. RAs can provide feedback through 08/11/2020 by completing a survey available here. After 08/11, feedback and ERA enhancement requests will need to be submitted via email at QCI@asu.edu.  
Process to Request Account PI Currently there is not a standard process for units to request a sibling account where the account PI is different from the Award PI. Because of this, the sibling account PI may or may not have completed COI certification. Status: Discussion

CMB Rep: Samantha Munguia

There are some inconsistencies about how ERA triggers COI revies for PHS and non-PHS funded awards. Further testing is needed.
Gas Cylinder Process There are multiple concerns regarding the processes with gas cylinders including the information made available for reports, the manual process of changing account numbers for cylinders, the paper process involved in returning the cylinders, accounts that are no longer active are being charged, and no review or approval by cost center or grant managers. Status: Discussion

CMB Rep: Sarah Kern

There are other Internal Service Delivery (ISD) charges (such as iLabs, Amazon Web Services and will be looked at as well) that are auto processed in WD. The potential issues are that they are processed without grant manager review. While there is initial PI approval, still needs review and approval of being appropriate. FOT is working on a project to review policies that will be impacted by this and draft suggestions for the change in process and what that process looks like. There is a need for an inventory of cylinders in labs be done while FOT does the review. Sarah Montgomery will assist on the RA side. Sarah Kern to find out if a KE Operations Project Manager can be assigned to move this along.  
Feedback: If you have questions or feedback regarding one of the listed topics, please send it to the listed CMB representative. For general feedback, kudos, or a topic to submit to the CMB please complete this brief form.
This month's CMB Newsletter Contributor:

Vicki Krell, Assistant Director of Research Advancement, The College

CMB Agenda Item Background Status & Contact
Process to Request Account PI Currently there is not a standard process for units to request a sibling account where the account PI is different from the Award PI. Because of this, the sibling account PI may or may not have completed COI certification. Status: Discussion

CMB Rep: Samantha Munguia

Appropriate team has been doing some testing within ERA; exploring making it a requirement that any account PI needs to be named as senior key personnel on the award; the COI should be triggered when that person is added. More testing is needed, because everyone who is an account PI needs to complete COI. Hope to have some Work Instructions for CMB to review at the next meeting. 
RSP Manual Policy Updates The Research and Sponsored Projects Manual (RSP) policies are reviewed and updated as needed. Fiscal Oversight has updated some and they are ready for approval. Status: Approved

CMB Rep: Michelle Wrapp

15 polices were updated and reviewed by CMB members and some suggestions were made for edits. CMB approved updated to the existing policies and OGC will manage updated to the policy manual in the upcoming weeks. Once updates have been made, we will let the RA Community know via the blog.
Subaward Invoicing There is a need to more closely track the receipt and correctness of subaward invoices. In addition, the system of PI review and approval of invoices will be scrutinized and changes will be considered for a cleaner process. AMT will work with certain units to pilot invoice approvals by PI or fiscal delegate in Workday. Status: Discussion

CMB Rep: Nicholas Petersen

On hold until in-person training may be available for PIs. AMT will create an efficient and visible method and work with certain units to pilot.

Unit participating in the pilot is still working with Nick, who will be writing up processes in July, and looking at all feedback. Main topic for future discussion will be feedback from RAs and faculty. Training will be developed, and will include itemizing which stakeholders should be looking at/reviewing various pieces of the process because this is a big shift in the process and everyone will need to know specifically what they should be looking at/reviewing before approving or moving the action forward.
Expenditure Monitoring Plan There is a need to develop more tools and processes to help Research Operations Teams & the Research Advancement Community proactively monitor expenditures on sponsored projects. Status: Discussion

CMB Rep: Sylvia Myers

The Fiscal Compliance Team (FCT) has identified 21 units for Expenditure Monitoring Review. Tara Seaton and Samantha Munguia are completing the reviews, and four have already been completed. FCT members are developing expenditure monitoring processes and procedures. For FY21, FCT will primarily work on developing a strategy and tools for expenditure monitoring. The team is also looking at what current tools units have/use that will be useful to the wider RA Community - i.e. Workday or Analytic Reports that will be useful moving forward, including the forecasting tool which also allows for drilling down to specific expenditure levels. 
Tuition Remission (change from 9 to 10 periods) Currently tuition remission is collected on 9 pay periods; however there are 10 pay periods in a semester. This makes account forecasting difficult  and sponsor charges inaccurate. Sample of RA/BOM Community was polled and all in favor of 10 pay periods. Status: Change Approved

CMB Rep: Heather Clark

Rollout expected in early FY21. Communications to follow.

Financial Services will be moving from 9 to 10 pay periods once the TA/RA rates are formally approved by Financial Services, which will probably happen within the next 2-3 weeks.
Investigator Allocations Change (IAC) Feedback New IAC workflow was implemented on January 27, 2020 as part of the Award Modification project. We are interested in feedback from the RA Community. Status: Discussion

CMB Rep: Samantha Munguia

Although the IAC process in ERA has been live in ERA 5 months, not everyone has been using it consistently. Now we are getting some more consistent feedback from the RA Community. Some of the issues reported to date: difficulty tracking outstanding approvals; ability to update requests made by reviewers on something already routing, etc.

The plan is to have an RA Seminar in mid-July (6th month anniversary of going live with the process) to go over areas that aren't all working and show some workarounds, tips and tricks (i.e. incorporating requested edits/changes from those who have to approve, so it doesn't go back to the same people needlessly multiple times) as well as discussing the areas that are more functional. 
 Audit Management Guidance External audits of sponsored projects are managed by the Fiscal Oversight Team. As management of audits has become more of a routine activity as the requests have increased, it was deemed advisable to document and refine the process for audit management and make the guidance available to the RA Community. Status: Discussion/Approval

CMB Rep: Michele Wrapp 

Over the years, there has often been a need to search for information due to the lack of a repository. The plan is to add this guidance on the Research Admin website. Draft documents brought for approval for CMB are 1) guidance document; 2) job aid with links to specific instructions. Feedback for edits should be sent to Michele by 7/3. Language is such that it can be put online and auditors wouldn’t have concerns with it as written. FOT has reviewed everything at great length and refined. CMB has approved.
Feedback: If you have questions or feedback regarding one of the listed topics, please send it to the listed CMB representative. For general feedback, kudos, or a topic to submit to the CMB please complete this brief form.
This month's CMB Newsletter Contributor:

Howard Bergman, Director of Research Advancement, MLF Teachers College

CMB Agenda Item Background Status & Contact
Process to Request Account PI Currently there is not a standard process for units to request a child account where the account PI is different from the Award PI. Because of this, the child account PI may or may not have completed COI certification. Status: Discussion

>CMB Rep: Samantha Munguia

 This change will ensure the child account PI completes the COI.
RSP Manual Policy Updates The Research and Sponsored Projects Manual (RSP) policies are reviewed and updated as needed. Fiscal Oversight has updated some and they are ready for review. Status: Discussion

CMB Rep: Michelle Wrapp

Policy Manuals should be reviewed and updated on a regular basis as a regular part of standard operating procedure.
Migration from ACC to GR IDs in ERA The “ACC” prefix was utilized when ERA was released, but Workday uses a GR prefix. Current activation notice includes ACC number and creates confusion. Status: Discussion

CMB Rep: Nicholas Peterson

 Expected to go from 8 digits to 5 digits. No release date yet. This is expected to provide consistency and more accurate reporting .
Subaward Invoicing There is a need to more closely track the receipt and correctness of subaward invoices. In addition, the system of PI review and approval of invoices will be scrutinized and changes will be considered for a cleaner process. AMT will work with certain units to pilot invoice approvals by PI or fiscal delegate in Workday. Status: Discussion

CMB Rep: Nicholas Petersen

 On hold until in-person training may be available for PIs. AMT will create an efficient and visible method and work with certain units to pilot.
Expenditure Monitoring Plan There is a need to develop more tools and processes to help Research Operations Teams & the Research Advancement Community proactively monitor expenditures on sponsored projects. Status: Discussion

CMB Rep: Sylvia Myers

Tara Seaton has been hired as a consultant to study the present state and develop a more robust and sustainable process in order to identify risks and create stronger compliance standards.
Salary Cap Monitoring The construction of the new sponsored data warehouse created the need to develop a new Salary Cap Monitoring Dashboard. In addition to the report, there is also a need for units to have access to tools to help calculate/monitor salary in excess of the salary cap. Status: Discussion

CMB Rep: Shirley Bowles

 Spreadsheet tool to be utilized. In development.
Tuition Remission (change from 9 to 10 periods) Currently tuition remission is collected on 9 pay periods; however there are 10 pay periods in a semester. This makes account forecasting difficult  and sponsor charges inaccurate. Sample of RA/BOM Community was polled and all in favor of 10 pay periods. Status: Change Approved

CMB Rep: Heather Clark

 Rollout expected prior to new fiscal year. Communications to follow.
Feedback: If you have questions or feedback regarding one of the listed topics, please send it to the listed CMB representative. For general feedback, kudos, or a topic to submit to the CMB please complete this brief form.