Develop Proposal >
Create and Route Funding Proposal
Responsibility: Unit
Prepared by: RAS
Work Instruction Number: WI-DP-04

PURPOSE

Create the funding proposal (FP), where required, to 

  1. ensure that the proposal is in ASU’s records in the event of questions from the sponsor 
  2. allow for internal and external reporting  

Route the funding proposal (FP) to provide an opportunity

  1. for all ASU reviewers to ensure the proposal is appropriate to the unit and institutional goals 
  2. to confirm that personnel and facilities are available to carry out the project

 

Acronyms

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.

Create and Route Funding Proposal

 

Pre-Proposal (NO Signatures required)
  1. RA will determine with PI if entry into ERA is desired 
    1. If no, no further action is necessary at this time
    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:
    1. ERA rates/escalation
    2. Tuition/Tuition Remission
    3. F&A rates
    4. Cost sharing
    5. Course buyouts
    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

 

Pre-Proposal (Signatures Required)
  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 of any of the following:
    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.)
    2. Nonstandard signatures required (e.g. Provost)
    3. F&A outside ASU’s standard policies
    4. Mandatory cost sharing
    5. Classified documents use
    6. Publication restrictions
    7. Foreign national worker restrictions
    8. Infrastructure support requirements
    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 activity when the proposal is ready for submission

 

Full Proposal from a Pre-Proposal in ERA
  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

 

Full Proposal
  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 of any of the following:
    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.)
    2. Nonstandard signatures required (e.g. Provost)
    3. F&A outside ASU’s standard policies
    4. Mandatory cost sharing
    5. Classified documents use
    6. Publication restrictions
    7. Foreign national worker restrictions
    8. Infrastructure support requirements
    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
    1. Consult sponsor’s general guidelines
    2. Review FOA guidelines (FOA supersedes general guidelines)
    3. For federal sponsors, also review 2 CFR 200 Uniform Guidance
    4. Review for compliance with ASU policies, including CAS Sitelet
    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
    1. Funding Opportunity Announcement (FOA)
    2. Sponsor guidelines
    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
    1. Proposal (Investigators, Chairs, Deans, and others, such as Center/Institute Directors, etc)
    2. Transfer/Exchange Students 
    3. Cost Sharing
    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

 

After the Fact 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
    • 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 to ERA Smarform 1.1. Question #8
  5. RA will complete the FP using
  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
    1. RA will determine allowable costs
      1. Consult sponsor’s general guidelines
      2. Review FOA guidelines (FOA supersedes general guidelines)
      3. For federal sponsors, also review 2 CFR 200 Uniform Guidance
      4. Review for compliance with ASU policies and practices, including CAS Sitelet
    2. For guidance on budget expense categories, RA will review the budget building section of the Proposal and Info Resources page
    3. RA may also request a PNT review of the completed budget by using the activity
  8. RA will follow ERA Grants Workflow Tutorial Job Aid to generate approvers and begin workflows for
    1. Proposal (Investigators, Chairs, Deans, and others), as appropriate
    2. Cost Sharing
    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
    1. RA will .  Do not wait for Department review to complete.
    2. If there is an award in hand, RA will , attaching the award notice.  Do not assume that attaching the award letter to the FP is sufficient.  It is not.

 

Revision (Supplement)

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

 

Renewal

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

 

Resubmission 

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

 

Transfer into ASU Proposal
  1. Using ERA Funding Proposal Guide, RA will create the Proposal  
  2. RA will immediately notify the assigned GCO, using the ERA activity to of any of the following:
    1. FAR clauses and/or other terms and conditions (T&Cs)
    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.)
    3. Nonstandard signatures required (e.g. Provost)
    4. F&A outside ASU’s standard policies
    5. Mandatory cost sharing
    6. Classified documents use
    7. Publication restrictions
    8. Foreign national worker restrictions
    9. Infrastructure support requirements
    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

 

Consortium-Funded Proposal

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

 

Sponsor Award made from Pre-Proposal
  1. RA will locate the Pre-Proposal in ERA in the tab
  2. RA will run the activity
  3. RA will include the sponsor correspondence/award letter.
  4. RA will run the Activity
  5. RA will process the Proposal as an After the Fact proposal in accord with instructions
  6. RA will to ensure the proposal receives review and is processed to AMT
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