Secure Commitments

Last updated: 04/30/2019 - 2:34pm

Secure Commitments

TIMELINE FOR REQUESTING ASU SUPPORT

Plans to meet cost sharing requirements should begin as soon as the requirement is identified but no less than 15 business days prior to the proposal deadline.  This will allow time for negotiations, including questions and clarifications, which is especially critical when more than one college/school/center is involved.

It is important to have the commitments finalized prior to proposal submission.  Any cost-sharing included in an award is a condition of the award and subject to audit.

 

In the following section:

Developing a cost sharing request

Requesting cash contributions from chairs/directors/deans

Requesting cash contributions from KED

Developing a Cost Sharing Request


1.  PI should work with RA to prepare a budget for the total costs of the project.

2.  As a first step, use available AY state-funded effort/ERE and any allowable unrecovered F&A to the cost sharing budget.*

3.  Has the total required cost sharing been met through AY state funded effort/ERE and allowable unrecovered F&A?

  • If yes, seek approval from chair(s)/director(s), complete the Cost Sharing Allocations Smart Form, and move forward with proposal preparation.
  • If no, review IIA and other local accounts within investigator(s)' control. Identify funds available to cover other items.

4.  Has the total cost sharing been met by including investigator controlled funds?

  • If yes, seek approval from chair(s)/directors(s), circulate the Cost Sharing Allocations Smart Form, and move forward with proposal preparation.
  • If no, consider potential third party contributions to cover the balance of funds required.

5.  Have sufficient funds have been identified in steps 2-4 above?

  • If yes, move forward with budget preparation.
  • If no, continue on to request cash contribution from chair.

*Note: It is very important to check a faculty member’s total effort commitments (direct charged and cost shared) to avoid overcommitment.  Although there is not a set amount in terms of total research effort, a thorough review of effort needs to consider teaching and service responsibilities within their 100% effort.  If there are questions about the reasonableness of effort, the RA should review with the assigned PNT GCO or contact RAHELP@asu.edu.

Requesting Cash Contributions from Chairs/Directors/Deans


1.  Contact the chair(s)/director(s) to discuss the project needs at least 15 business days prior to the proposal deadline.   Be sure to provide:

  • Project title
  • Name of sponsor
  • ASU Proposal number, if available
  • Amount needed
  • Justification for need
  • RID Analysis (calculator)

2.   If sufficient funds are available between PI resources and those from the chair(s)/director(s), complete the Cost Sharing Allocations Smart Form.

3.  If funds are insufficient, determine with chair(s)/director(s) appropriate steps to take to request funds from the Dean(s).   Be prepared to provide additional details about the project and the needs.

4.  PI will review cost sharing with chair/director and dean.  If request receives approval for a cash contribution, the PI requests RA complete the Cost Sharing Allocations Smart Form.

5.  If required cost sharing cannot be met by state funded academic effort, third party contributions, or other funds within the investigator(s), chair(s)/director(s)and/or dean(s)' control, KED will consider cash cost sharing.

Requesting Cash Contributions from KED

What should the request to KED include?

1.    Project Abstract/Summary providing background information on the proposal, including:

  • Sponsor
  • Proposal number, if available
  • Proposal deadline and expected award date
  • Project costs
  • RID and IIA Analyses (RID Calculator)
  • Third party contributors, if any
  • Confirmation that requested contribution is needed to meet a MANDATORY sponsor cost sharing commitment. 

2.    Description of how the project will support the strategic goals of the units involved and ASU as a whole;

3.    Description of what is requested and why;

4.    List of commitments obtained from investigators, chairs, deans, and third parties.

5.    The KED commitment standard is 50%.  Requests greater than 50% must include an explanation of what efforts were made to secure these excess funds from other sources.  

6.    KED may require the RID return be a $0 net to Colleges/Schools/PI RID with a reduction in KED commitment.

7.    Requests to KED Executive Director, Stacy Esposito, should flow from the Dean via e-mail.

8.    If approved, route Cost Sharing Allocations Smart Form to KED Executive Director, Stacy Esposito.

What are the formulas to be used when requesting cash contributions from KED?

Scenario Cash Formula*
Cost sharing ≤ anticipated F&A recovery Full commitment KED: 50%
College: 25%
Unit/PI: 25%
Cost sharing > anticipated F&A recovery Portion of commitment up to anticipated F&A recovery KED: 50%
College: 25%
Unit/PI: 25%
Portion of commitment above anticipated F&A recovery KED: 50%
College/Unit/PI/3rd Party: 50%

Notes:

The above formulas will change when Biodesign, Learning Sciences Institute, and/or ABOR centers are involved.  Please contact KED Finance for assistance under these instances.

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