Home | Process | Develop Proposal | Prepare Proposal

Responsibility: Unit-PI
Prepared by: RAS
Work Instruction Number: WI-DP-03


Preparing a checklist

  1. Organizes sponsor requirements for applying
  2. Identifies the party responsible for parts of the proposal
  3. 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

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 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

4. 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.

5. RA will continue to Create and Route Funding Proposal.