Timeline for requesting ASU support

Plans to meet cost sharing requirements should begin as soon as the requirement is identified but no less than 15 business days prior to the proposal deadline.  This will allow time for negotiations, including questions and clarifications, which is especially critical when more than one college/school/center is involved.

It is important to have the commitments finalized prior to proposal submission.  Any cost-sharing included in an award is a condition of the award and subject to audit. 

For requests to KE for cash cost share contribution, the request should be sent to KE after securing commitments from department/unit.  Non-standard requests must be submitted using the KE Cash Cost Share Contribution Request Form and should be sent no later than three weeks before the sponsor proposal deadline.

In the following section:

Developing a cost sharing request

Requesting cash contributions from chairs/directors/deans

Requesting cash contributions from KE

Developing a cost sharing request

1.  PI should work with RA to prepare a budget for the total costs of the project.

2.  As a first step, use available AY state-funded effort/ERE and any allowable unrecovered F&A to the cost sharing budget.*

3.  Has the total required cost sharing been met through AY state funded effort/ERE and allowable unrecovered F&A?

• If yes, seek approval from chair(s)/director(s), complete the Cost Sharing Allocations Smart Form, and move forward with proposal preparation.
• If no, review IIA and other local accounts within investigator(s)’ control. Identify funds available to cover other items.

4.  Has the total cost sharing been met by including investigator controlled funds?

• If yes, seek approval from chair(s)/directors(s), circulate the Cost Sharing Allocations Smart Form, and move forward with proposal preparation.
• If no, consider potential third party contributions to cover the balance of funds required.

5.  Have sufficient funds have been identified in steps 2-4 above?

• If yes, move forward with budget preparation.
• If no, continue on to request cash contribution from chair.

*Note: It is very important to check a faculty member’s total effort commitments (direct charged and cost shared) to avoid overcommitment. Although there is not a set amount in terms of total research effort, a thorough review of effort needs to consider teaching and service responsibilities within their 100% effort. If there are questions about the reasonableness of effort, the RA should review with the assigned PNT GCO or contact [email protected].

Requesting cash contributions from chairs/directors/deans

1.  Contact the chair(s)/director(s) to discuss the project needs at least 15 business days prior to the proposal deadline. Be sure to provide:

• Project title
• Name of sponsor
• ASU Proposal number, if available
• Amount needed
• Justification for need
• RID Analysis (calculator)

2.   If sufficient funds are available between PI resources and those from the chair(s)/director(s), complete the Cost Sharing Allocations Smart Form.

3.  If funds are insufficient, determine with chair(s)/director(s) appropriate steps to take to request funds from the Dean(s).   Be prepared to provide additional details about the project and the needs.

4.  PI will review cost sharing with chair/director and dean.  If request receives approval for a cash contribution, the PI requests RA complete the Cost Sharing Allocations Smart Form.

5.  If required cost sharing cannot be met by contributed effort, third party contributions, unit and investigator RID and IIA returns, unrecovered F and A, or other funds within the investigator(s), chair(s)/director(s) and/or dean(s)’ control, Knowledge Enterprise will consider contributing cash towards the required cost sharing commitment.

Requesting cash contributions from KE

Important! Department/unit cost-sharing contributions must be determined prior to requesting KE cash cost share.

If a unit is approaching KE to contribute cash cost share then the unit must confirm that they are not able to reach the full cost share requirement using contributed effort, unrecovered F and A, third party cost share, and/or anticipated unit and investigator RID and IIA.  

The Proposal Budget Development Excel template (under ‘Requesting Cash Contributions from KE’ section) includes a FY RID and  IIA Calculator tab that can assist units in determining the amounts of anticipated distributions that may be available to contribute towards unit cost sharing. To inquire if a specific KE unit receives RID, contact  [email protected].

The following presents the standard division (aka, standard split) of cost sharing that KE will typically consider. Review and approval of standard KE cash contribution requests takes place via the Cost Share Approvals process in ERA Proposals. 

Standard formulas when requesting cash contributions from KE 

Scenario

Cost sharing ≤ anticipated F and A recovery
Cash = full commitment.
Formula= KE 50%, College 25%, Unit/PI 25%

Scenario

Cost sharing > anticipated F and A recovery
Cash = portion of commitment up to anticipated F and A recovery.
Formula= KE 50%, College 25%, Unit/PI 25%

Scenario

Cost sharing > anticipated F and A recovery.
Cash = portion of commitment above anticipated F and A recovery.
Formula= KE 35%, College/Unit/PI/3rd Party 65%

Note:The above formulas will change when Biodesign and/or ABOR centers are involved.  Please contact KE Financial Services at [email protected] for assistance under these instances. 

For example:

Scenario 1

Cost sharing requirements is $100,000. Anticipated F&A is $200,000 (or any amount ≥ $100,000). Standard division of cost sharing commitment: KE $50,000 (50%), College $25,000 (25%), Unit/PI $25,000 (25%)

Scenario 2

Cost sharing requirements is $100,000. Anticipated F&A is only  $80,000. Standard division of cost sharing commitment: KE $47,000 (50% of $80,000 + 35% of $20,000), College/Unit/PI/3rd Party $53,000 (50% of $80,000 + 65% of $20,000)

Non-standard requests must be submitted using the KE Cash Cost Share Contribution Request Form and be sent no later than three weeks before the sponsor proposal deadline. Instructions are as follows:

1. RA should gather the following information and materials that will be needed in order to complete the KE Cash Cost Share Contribution Request Form:

• *ERA Funding Proposal number
  • *Note: The following data points must be entered/selected in the ERA FP prior to submitting a KE Cash Cost Share Contribution Request: PI name, Lead Financial Unit, RA name, Proposal Title, Agency being submitted to (Sponsor), Sponsor Proposal Due Date or ORSPA Submission Target Date, Web address for the FOA.
• Total amount requested from agency (i.e., ASU’s Sponsor Budget Summary total)
• Total indirect costs involved (estimated)
• Excerpt from the Funding Opportunity Announcement (FOA) that specifies the cost sharing requirement
• Amount of KE cash cost sharing requested for the proposed project
• Justification for any voluntary cost sharing, if applicable (reminder: voluntary cost sharing is strongly discouraged)
• Description of how the KE cash will be used
• Table attachment summarizing cost sharing commitments that have been secured so far (e.g., department, college, etc.)
• List of other sources of cost sharing that are being pursued
• Rationale statement as to why the University should invest in this project via the provision of cash cost sharing 
• Proposal Budget attachment, if available
• Proposal Abstract, if available

2. RA will complete and submit KE Cash Cost Share Contribution Request form in the Qualtrics portal
3. RA will receive a response from KE via email (approved, additional questions, declined, etc.)

4. If approved, RA will include “Knowledge Enterprise“ on the Cost Sharing Allocations Smart Form and route for approvals in ERA. The KE Cost Share Approver should automatically be included by the system when Department Reviewers are generated.

1. A KE cash cost sharing contribution is being requested. Is the standard division of the cost share requested?
   1. If yes, KE request form is not necessary. Route standard requests for cost share approvals to ERA only. 
   2. If no, Principal Investigator or Research Administrator completes the KE Cash Share Contribution Request Form no later than 3 weeks before the submission deadline. Next, the request is received and reviewed by KE leadership. Next is the initial review. Is this cost share commitment required by the sponsor or aligned with institutional strategies and goals or commitment provided by the department/unit is appropriate and reasonable?
      1. If no, request sent back to PI or RA.
      2. If yes, there is a second review. Is this cost share commitment necessary and reasonable to accomplish the project?
         1. If no, request is sent back to PI or RA.
         2. If yes, next is the KE calculation. KE support already provided to the ASU department and/or PI. RID and IIA account review. KE funds available. Return on investment (ROI) calculation.