FP – Funding Proposal

ASU – Arizona State University

ASUF – Arizona State University Foundation

ERA – Enterprise Research Administration

ATF – After the fact

F&A – Facilities and Administrative Costs

S2S – System to System

PNT – Proposal and Negotiation Team

T&C – Terms and Conditions

IP – Intellectual Property

GCO- Grant and Contract Officer

CAS – Cost Accounting Standards

For definitions, see Acronyms and Glossary page.

1. RA will determine with PI if entry into ERA is desired

1.1. If no, no further action is necessary at this time

1.2. If yes, continue to step 2

2. Using ERA Funding Proposal Guide, RA creates the Pre-Proposal

3. RA will upload Sponsor Pre-Proposal Attachments (e.g. proposal, F&A rate agreement, tax status, other). All ASU policies must be followed including but not limited to:

3.1. ERA rates/escalation

3.2. Tuition/Tuition Remission

3.3. F&A rates

3.4. Cost sharing

3.5. Course buyouts

3.6. Space considerations

4. RA will run the activity to obtain PI approval (chairs/deans not needed at this stage

5. RA will run the activity

1. Using the ERA Funding Proposal Guide RA creates the Pre-Proposal

2. IF proposal is due same day (i.e. today), RA will follow the Rush Proposal Protocol on the Proposal Information and Resources page

3. RA will immediately notify PNT of any of the following:

3.1. FAR clauses, other terms & conditions (T&Cs) and/or representations and certifications (e.g. non-compete clause, Intellectual Property (IP), Small Business, Cost & Price certification, etc.)

3.2. Nonstandard signatures required (e.g. Provost)

3.3. F&A outside ASU’s standard policies

3.4. Mandatory cost sharing

3.5. Classified documents use

3.6. Publication restrictions

3.7. Foreign national worker restrictions

3.8. Infrastructure support requirements

3.9. Special facility requirements

4. RA will upload Sponsor Pre-Proposal Attachments (e.g. proposal, F&A rate agreement, tax status, other)

5. RA will run the activity to obtain PI approval. (chairs/deans not needed at this stage)

6. Upon approval by the PI, the status will change automatically to Pre-proposal: PNT Review

7. RA will make changes requested by assigned PNT GCO

8. RA will Use notify PNT activity when the proposal is ready for submission

1. Using ERA Funding Proposal Guide, RA creates the Proposal from the pre-proposal
2. RA will attach any correspondence received from sponsor
3. RA will Continue to step 2 of the Instructions for Full Proposals

1. Using ERA Funding Proposal Guide, RA creates the Proposal

2. IF proposal is due same day (i.e. today), RA will follow the Rush Proposal Protocol on the Proposal Information and Resources page

3. RA will immediately notify the assigned GCO, using the ERA activity to notify PNT of any of the following:

3.1. FAR clauses, other terms & conditions (T&Cs) and/or reps and certs (e.g. non-compete clause, Intellectual Property (IP), Small Business, Cost & Price certification, etc.)

3.2. Nonstandard signatures required (e.g. Provost)

3.3. F&A outside ASU’s standard policies

3.4. Mandatory cost sharing

3.5. Classified documents use

3.6. Publication restrictions

3.7. Foreign national worker restrictions

3.8. Infrastructure support requirements

3.9. Special facility requirements

4. In the event additional space or space rehabs will be needed,  RA/PI will contact Facilities Development and Management

5. RA will follow Native American Involvement Instructions, where applicable

6. If the proposal requires the ASU Presidential seal, RA will contact Annemarie Belter

7. RA will complete FP data entry using responses provided by PI on the proposal intake form or by e-mail

8. Using the ERA Budgets Guide, RA create budget(s) within ERA

9. RA will determine allowable costs

9.1. Consult sponsor’s general guidelines

9.2. Review FOA guidelines (FOA supersedes general guidelines)

9.3. For federal sponsors, also review 2 CFR 200 Uniform Guidance

9.4. Review for compliance with ASU policies, including CAS Sitelet

9.5. For guidance on budgeting direct cost expense categories, RA may visit the budget building section of the Proposal and Info resources page

10. RA will follow the F&A Wizard to determine F&A rate. Clarifications of types of rates can be found in “About F&A” in the F&A Sitelet

11. RA will go to Subrecipient vs Vendor / Contractor vs Consultant page if other external persons/entities will be involved

12. If subawards are involved, RA will go to the Subawards Sitelet for guidance

13. If cost sharing is involved, RA will go the Cost Sharing Sitelet for further information

14. When ASU’s standard rates or sponsor’s published policy will not be used, RA will consult the F&A Waivers page of the F&A Sitelet for instructions

15. RA will prepare the budget justification using

15.1. Funding Opportunity Announcement (FOA)

15.2. Sponsor guidelines

15.3. Budget Justification Best Practices

16. RA will attach the budget justification to the “Funding Proposal Research Plan Attachments” Smartform 8.X

17. RA will obtain draft project summary/abstract from PI

18. RA will attach the project summary to the “Funding Proposal Research Plan Attachments” Smartform in question 8.X

19. RA will follow ERA Grants Workflow Tutorial Job Aid to generate approvers and begin workflows for

19.1. Proposal (Investigators, Chairs, Deans, and others, such as Center/Institute Directors, etc)

19.2. Transfer/Exchange Students

19.3. Cost Sharing

19.4. F&A Waiver, where the rate used does not meet ASU policy requirements and is not on the ASU list of approved limited rates

20. RA will continue to Complete Proposal

1. Using the ATF Proposal Flow chart, RA confirms the proposal should be processed as an ATF

2. Using ERA Funding Proposal Guide, RA creates the Proposal

3. RA will manage Proposal Editors – Readers, if appropriate

3.1. In the case of a proposal where ASUF will be the applicant, RA will follow the instructions in the Working with ASUF Sitelet

4. RA will answer Yes to ERA Smartform 1.1. Question #8

5. RA will complete the FP using

5.1. The Standard Institutional Information page (ORSPA) or the ASUF Sitelet, depending on which entity will serve the applicant

5.2. Responses provided by PI on the proposal intake form or e-mail

5.3. ATF Proposal Flow Chart instructions to determine start date to be entered

6. RA will include attachments such as proposal, sponsor’s F&A policy, etc.

7. Using ERA Budgets Guide, RA creates budget(s) within ERA

7.1. RA will determine allowable costs

7.1.1 Consult sponsor’s general guidelines

7.1.2. Review FOA guidelines (FOA supersedes general guidelines)

7.1.3. For federal sponsors, also review 2 CFR 200 Uniform Guidance

7.1.4 Review for compliance with ASU policies and practices, including CAS Sitelet

7.2. For guidance on budget expense categories, RA will review the budget building section of the Proposal and Info Resources page

7.3. RA may also request a PNT review of the completed budget by using the notify PNT activity

8. RA will follow ERA Grants Workflow Tutorial Job Aid to generate approvers and begin workflows for

8.1. Proposal (Investigators, Chairs, Deans, and others), as appropriate

8.2. Cost Sharing

8.3. F&A Waiver, where the rate used does not meet ASU policy requirements and is not on the ASU list of approved limited rates

9. In parallel with the start of the Submit for Department Review

9.1. RA will Forward for PNT Review. Do not wait for Department review to complete.

10. If there is an award in hand, RA will notify PNT, attaching the award notice. Do not assume that attaching the award letter to the FP is sufficient. It is not.

10.1. Once an official award has been shared, Proposal GCO Reviewer will review the ATF Proposal using the same procedures as a standard Proposal.

10.2. If the award will add new funding to an existing ERA Award, the RA will be advised to complete an Award Change Request within the ERA Award site.

Follow the guidance on the Additional Funds for a Sponsored Project page

Follow the guidance on the Additional Funds for a Sponsored Project page

1.  Navigate to the original awarded proposal in ERA

2.  If necessary, Assign RA Ownership 

3.  Using ERA Funding Proposal Guide, RA will create a New Resubmission

4.  RA will use the Funding Proposal (FP) guide to complete the funding proposal smartforms   

5.  RA will continue to step 2 of the Instructions for Full Proposals

1. Using ERA Funding Proposal Guide, RA will create the Proposal

2. RA will immediately notify the assigned GCO, using the ERA activity toof any of the following:

2.1. FAR clauses and/or other terms and conditions (T&Cs)

2.2. FAR clauses, other terms & conditions (T&Cs) and/or reps and certs (e.g. non-compete clause, Intellectual Property (IP), Small Business, Cost & Price certification, etc.)

2.3. Nonstandard signatures required (e.g. Provost)

2.4. F&A outside ASU’s standard policies

2.5. Mandatory cost sharing

2.6. Classified documents use

2.7. Publication restrictions

2.8. Foreign national worker restrictions

2.9. Infrastructure support requirements

2.10. Special facility requirements

3. RA will review Transfer of Sponsored Projects to ASU page to make note of special steps to be taken in ERA and in working with the PI

4. RA will continue to step 4 of the Instructions for Full Proposals

Processing of this type of proposal is unique in that the proposal processing and account set up are processed together. Step by step instructions are found in the Consortiums Job Aid. For additional information about consortiums, in general, RA will review the Topical Guide >> Consortiums