When ASUF is the applicant organization, who should be listed as the sponsor within ERA?

ASUF should be listed as the direct sponsor. The organization providing the charitable funds should be listed as the prime sponsor.

What is the legal name of ASUF?

Arizona State University Foundation for a New American University.

Is the standard institutional information the same for ORSPA and ASUF?

No. ORSPA’s administrative information is posted to the Proposal Information and Resources page. ASU Foundation Institutional Information Sheet can be found on the ASUF Proposal Resources page.

What is the process for charitable gifts/grants where ASUF will be the applicant?

With few exceptions, the review and approval process is the same as for all proposals (ORSPA or ASUF). See the Develop Proposal Work Instructions for further information.

Is an ERA Funding Proposal (FP) required for both ASUF and ORSPA proposals? 

Yes, charitable gifts/grants are processed using the same procedures established by Research Operations for sponsored projects. However, for charitable gifts/grants that will go out with ASUF as the applicant, Research Advancement staff will notify ASUF by:

Using the “Manage Proposal Editors-Readers” activity from the proposal workspace, add Andrew Nelson and Kimberly Roland under the “Update Proposal Team Readers” search bar.

ERA will generate an e-mail, automatically, notifying ASUF that there is an FP available for review.

Does ASUF provide any support for proposal development?

For charitable gift/grant applications of $100K or more, the appropriate ASU Foundation teams will help PI/Unit in grant writing and proposal review, upon request. For assistance with proposals to foundations, contact Andrew Nelson, Sr. Director, Foundation Development. For assistance with applications to corporations, contact Kimberly Roland, Assistant Vice President of Corporate Philanthropy. PIs/Units may contact [email protected] to inquire about these services.

Note: Please notify ASUF at the earliest stages of proposal development to allow for adequate lead time.

What should be done if a document requires an ASUF institutional signature?

Send signature requests for proposals, vendor setup forms, and banking institution forms to [email protected]. Requests should be sent with as much notice as possible and include the date by which the signature is needed. Documents that may require ASUF signature include, but are not limited to, proposal documents, vendor setup forms, and banking institution forms.

What if there is a limit on the number of proposals the institution may submit?

Limited Submission (LS) opportunities for charitable grants are managed through the standard ASU Limited Submissions process.

Budgeting

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Follow the guidelines in the budget section of the Proposal Information and Resources page. All information applies, including the 3% escalation for personnel.

For charitable gifts/grants that are funded by industry (except where there is federal flow through funds involved), IRB fees for human subjects protocol review apply. For additional information, see the Fee Structure on the Office of Research Integrity and Assurance (ORIA) website.

Direct charging of administrative or clerical salaries to a charitable grant is appropriate if the services benefit the sponsored project. Administrative expenses that benefit such awards can and should be charged directly to those awards.

Some charitable sponsors may have specific requirements for direct charging of administrative costs. Such requirements should be complied with and addressed in proposals.

When a charitable sponsor’s maximum indirect cost rate as published or allowed by the sponsor’s policy is lower than ASU’s Federal Rate, funds should be budgeted for expenses normally funded as indirect costs (e.g., project-related administrative support, office supplies, etc.). Below are the parameters when these types of costs should be included, if possible:

• For proposal budgets under $1M
  • No Standard Direct Charge for Central Administrative Costs. Proposals at this tier will typically not require inclusion of central administrative costs as direct costs.
  • Direct Charge for Unit Administrative Costs, If Possible. Include direct costs for applicable administrative and project costs that would normally be funded by indirect cost recovery. Review Administrative Costs to Consider on Non-federal Awards for examples and guidance.

• For proposal budgets that total $1M or more
  • Direct Charge for Central Administrative Costs. Unless expressly prohibited by sponsor’s published policies, include a line for “Sponsored Management Solutions and Support” under Other Direct Costs > Other Services (not in Personnel), in accordance with the Tiered Costs Table below. The dollar amounts listed at each tier are the amounts that should be budgeted in each year of the project (use the same FY column that is applicable to your project year in ERA).

Range	FY24	FY25	FY26	FY27	FY28
$0 – $999,999	$0	$0	$0	$0	$0
$1M – $2,999,999	$8,606	$8,864	$9,130	$9,404	$9,686
$3M – $5,999,999	$21,515	$22,161	$22,825	$23,510	$24,215
Over $6M	$43,030	$44,321	$45,651	$47,020	$48,431

• Direct Charge for Unit Administrative Costs: Include applicable administrative and project costs that would normally be funded by indirect cost recovery. Review Administrative Costs to Consider on Non-federal Awards for examples and guidance.

Budget justification

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Refer to the Budget Justification Best Practices job aid for language to be included in budget justifications and budget narratives, including the following boilerplate language specific to charitable grant proposal budgets:

• All budgets which include funds for F and A must also include the following statement verbatim: “A percentage of the funds will be paid to the ASU Foundation in consideration for their services in support of this project.”  
• The following language can be used when justifying the central research administration vendor/service line as an Other Direct Cost:
  • Sponsored Management Solutions and Support – Funds have been budgeted for Sponsored Management Solutions and Support, to manage legal, financial, administrative, and compliance activities under this award. Sponsored Management Solutions and Support will also provide essential resources to facilitate project success and fulfill sponsor requirements.
• If it is necessary to budget a “TBD Grant + Contract Officer” line in the personnel budget (because the sponsor’s policy prohibits vendor/service costs), use the same language but replace “Sponsored Management Solutions and Support” with “TBD Grant + Contract Officer”:
  • TBD Grant + Contract Officer – Funds have been budgeted for a Grant + Contract Officer to manage legal, financial, administrative, and compliance activities under this award. The Grant + Contract Officer will provide essential resources to facilitate project success and fulfill sponsor requirements.

Cost sharing

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The process for review and approval of cost sharing for charitable gifts/grants is the same as it is for proposals where ASU (Research Operations/ORSPA) is the applicant. For additional information, please see the Cost Sharing Sitelet.

F and A rates

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What is the appropriate F and A rate?

Charitable grant proposal budgets must include indirect costs calculated at the maximum rate permitted by the sponsor’s published policy.

• A limited indirect cost rate should be applied to the total direct costs (TDC) of such a project, rather than the modified total direct costs (MTDC) basis used in federal awards, unless prohibited by the sponsor.

Where the sponsor does not have a published policy, 11% of all direct costs (Total Direct Costs/TDC) should be used.

11% TDC is less than the sponsor’s published policy; should the lower rate be used?

No. The sponsor’s published policy takes precedence.

Can the sponsor write a letter that says what they are willing to pay?

Acceptable documentation of a sponsor’s F and A restriction is outlined in the funding opportunity announcement (FOA), published on their website or in their sponsor guidelines (including requirements stated in the sponsor budget template, submission portal, etc.). Letters and emails from sponsors will not be accepted. For assistance with requesting that a sponsor publish their rate policy, please contact the [email protected] well in advance of the proposal deadline (approximately 2 weeks notice is preferred).

What rate should be used on flow-through funds?

In circumstances where ASU will be the subgrantee, ASU (Research Operations/ORSPA) not ASUF will be the applicant organization. Please refer to the F and A Wizard for appropriate rates.

When is a waiver required?

Published, uniformly applied F and A policy	No waiver required
Post-submission change in grantee from ASUF to ORSPA due to sponsor constraints	No waiver required
ASUF confirmed, unpublished F and A policy < 11% TDC	KE waiver required
F and A < 11% TDC and no policy	KE waiver required

Who needs to sign off on the waiver?

RAs must follow the steps outlined in the F and A Sitelet.

Does ASUF need to sign off on the waiver as well?

No.