Contributors have the responsibility for ensuring funds are made available to meet cost sharing commitments in a timely manner.  Tracking, reporting, and certifying of cost share direct costs is a shared responsibilities among the Principal Investigator, Research Administrator, and Research Operations.

Principal investigator responsibilities

Pre-award

• Negotiate cost sharing commitments during proposal development
• Finalize cost sharing commitments prior to proposal submission
• Assist RA in completing a Cost Sharing Allocations Smart Form
• Clearly document approved cost sharing in the proposal budget and budget justification
• Obtain a detailed budget and letter of commitment, on organizational letterhead, from third party contributors at the time of proposal  

Post-award

• Review the award notice to determine what the sponsor has noted as the ASU cost sharing commitment
• Notify RA immediately if either of the following occurs:
  • The amount of sponsored funds has been reduced but the cost sharing has not also be reduced proportionately OR
  • The actual effort and other costs required to to accomplish the goals will differ from the cost sharing commitment noted in the proposal or award
• Ensure cost sharing commitments are fulfilled in a timely manner
• Develop a plan to monitor and document the cost sharing committed
• Provide documentation of allowable cost sharing to ORSPA’s AMT GCO, as requested
• Cover, from other non sponsored funds, any shortfalls in cost sharing commitments

Failure to meet a cost sharing commitment may result in a reduction in sponsor funding. It may also impact future funding to the PI and ASU.

The RA/unit responsibilities

Pre-award

• Assist the PI in properly completing the Cost Sharing Allocations Smart Form.  This form is required when there is cost sharing regardless of whether ORSPA or ASUF will be the applicant organization
• Route Cost Sharing Allocations Smart Form to all university contributors for approval prior to proposal submission
  • Route the KE Cash Cost Share Contribution Request Form, when applicable (See Secure Commitments > Requesting Cash Contributions from KE)
• Ensure contributions from a third party are detailed, on the contributor’s letterhead, and signed by authorizing official for the third party contributor

Post-award

• Review the award notice to determine what the sponsor has noted as the ASU cost sharing commitment
• Notify the assigned AMT GCO immediately if either of the following occurs:
  • The amount of sponsored funds has been reduced but the cost sharing has not also be reduced proportionately OR
  • The actual effort and other costs required to to accomplish the goals will differ from the cost sharing commitment noted in the proposal or award
• Assist the PI in ensuring the cost share obligations are met in a timely manner by:
  • Setting up state cost sharing companion accounts, when state funded effort is involved
  • Providing AMT with the account #s which will fund the cost sharing (i.e…., revenue stream)
  • Submitting an Award Change Request and uploading the Cost Sharing Requirement Form when there are changes being made to cost sharing commitments 
  • Obtaining documentation from third party contributors and submitting it to AMT
  • Ensuring cost sharing effort is being properly certified
  • Notifying AMT if any discrepancies exist on the Cost Sharing Effort Dashboard Reports

Research Operations responsibilities

Pre-award (PNT and IAG)

• Check for documentation of required cost sharing by Sponsor or is otherwise noted as voluntary in ERA.
• Check for completion of cost sharing approvals.  If approvals are outstanding, AD notification and approval is required to submit the proposal application.

Post-award (AMT)

• Request cost sharing funding information from the RA/Unit
• Set up cost sharing (non state) cost sharing companion accounts
• Process required updates to ERA and Workday when there are changes to cost sharing commitments
• Reconcile cost sharing, at least, semi-annually and complete internal cost sharing report
• Send internal cost sharing report to PI and RA to show the current status of certified cost sharing and partner with them to clear any discrepancies 
• Report certified cost sharing to the sponsor, as required

Post-award (FOT)

Enter cost sharing contributed effort in the After-The-Fact Review Report.

Contributors’ responsibilities

• Review request for cost sharing contributions to determine available resources
• Ensure resources requested will be available during the timeframe of the project
• Track revenue sources to be sure funds committed are available when the project is awarded
• Make revenue available for transfer to cost sharing companion account at the beginning of each budget period
• In the case of third party contributors, ensure that in-kind and cash commitments are met in accord with the terms agreed upon at the proposal stage