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Responsibility: Unit-PI
Prepared by: RAS
Work Instruction Number: WI-DP-03
Purpose
Preparing a checklist
- Organizes sponsor requirements for applying
- Identifies the party responsible for parts of the proposal
- Outlines internal ASU steps necessary for the review and submission of proposals by the ASU institutional official
ASU – Arizona State University
RA – Research Advancement Administrator
PI – Principal Investigator
PNT – Proposal and Negotiation Team
FAR – Federal Acquisition Regulations
T&Cs – Terms and Conditions
IP – Intellectual Property
F&A – Facilities and Administrative Costs
ERA – Enterprise Research Administration
WI – Work Instruction
DP – Develop Proposal
For definitions, see Acronyms and Glossary page.
Prepare proposal checklist
1. RA will prepare a checklist (see optional sample proposal checklist) which notes proposal requirements and identifies the responsible party (e.g. PI, RA, or other persons). Items to take particular note are listed in the Review of a Funding Announcement Guide, including but not limited to:
- FAR clauses, other terms & conditions (T&Cs) and/or representations and certifications (e.g. non-compete clause, Intellectual Property (IP), Small Business, etc.). Also see Request for Execution of Certificate of Current Cost or Pricing Data Job Aid.
- Nonstandard signatures required (e.g. Provost)
- F&A outside ASU’s standard policies
- Mandatory cost sharing
- Classified documents use
- Publication restrictions
- Foreign national worker restrictions
- Infrastructure support requirements
- Special facility requirements
- Controlled Unclassified Information (CUI) and other Data Security related items
- Specific MI/HSI/MSI eligibility requirements
- Indication that funds will be awarded in a foreign currency
- Why: PFG provides standard language to be included at proposal time, clarifying that non-USD estimates are furnished for the purpose of the proposal but it is understood that the University will be compensated in USD in order to meet the scope of work.
- Sponsor is located in a foreign country
- Why: PFG runs Visual Compliance checks to ensure that the organization is not red-flagged for any reason.
Flag these requirements for the PI and Notify PNT immediately upon creation of the FP (Create and Route FP)
2. RA will contact Global Operations for guidance in the event that the proposal includes risks noted on the Checklist of International Risk Considerations.
3. RA will contact the Research Technology Office via ServiceNow for input or assistance in the event CUI or other Data Security related items are involved.
4. RA will share the checklist with all persons (PIs, Project Managers, etc.) involved in the proposal development. While not required, it is recommended that the RA upload a copy of the checklist to ERA, as follows:
- For Grants.gov and NSF Submissions:
- On the Research Plan and Reference Attachments smartform, in the field for Internal Reference Attachments
- For Non-Grants.gov, Non-NSF Submissions:
- On the smartform 1.4.2 Funding Opportunity Announcement, Question 6.0 General Submission Documents
5. RA will also provide investigators a link to the Research Academy’s faculty track lesson: How to Get Research Funding. Here investigators will find information related to technical proposal preparation.
6. RA will continue to Create and Route Funding Proposal.