Pre-Award

Last updated: 05/09/2019 - 3:05pm
PURPOSE

To provide guidance on:

1) when a proposal is handled by Research Operations/ORSPA
2) when a proposal is handled by the ASU Foundation
3) how to develop a charitable grant proposal
4) how to address post-submission activities and follow up
5) where to find the ASU Foundation's administrative Information

 

Acronyms

RA - Research Advancement Administrator

GCO - Grant and Contract Officer

FP - Funding Proposal

IRB - Institutional Review Board

OCFR - Office of Corporate and Foundation Relations

CFO - Chief Financial Officer

ASU - Arizona State University

OIRC - Office of Industry and Research Collaborations

ASUF - ASU Foundation

ATF - After the Fact

ORSPA - Research Operations

PI - Principal Investigator

PNT - Proposal and Negotiation Team

ResOps - Research Operations 

KED - Knowledge Enterprise Development

For definitions, see Acronyms and Glossary page.

Introduction

Charitable gifts/grants follow the same guidelines regardless of whether ASUF or KED Research Operations/ORSPA will be the applicant organization.   Please see the Develop Proposal Work Instructions.  

ASUF + ORSPA proposals --> RA --> Research Operations/ORSPA --> Sponsor

Who is the applicant Organization?

ASU Foundation will be the applicant organization for charitable gifts/grants with the exception of when:

  • The sponsor does not make awards to 501(c) 3, non-profits.
  • ASU is a subgrantee (e.g. Hope on Wheels --> Phoenix Children's Hospital --> ASU)
  • The grant is being transferred in to ASU from another institution.

Who administers the funds?

All funds (both ASU and ASUF) are administered by Research Operations/ORSPA with one exception:  Unrestricted gifts are received and administered by ASUF and the appropriate unit.

Is it the RA's responsibility to determine if funds are charitable?

No.   RAs may contact RAhelp@asu.edu for assistance.

Where can questions be directed to?

RAs may contact RAhelp@asu.edu with questions.

ASU Foundation employees may send queries to OCFRgrants@asu.edu.

 

Charitable Gift/Grant Proposal Development

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 a Funding Proposal 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  activity from the proposal workspace, add Jenny BickfordShaun Brenton, Paco Madden, and Kristin Travagline under the .

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 ASUF and its Office of Corporate and Foundation Relations may provide assistance to the RA in the area of grant writing and proposal review and comment.   RAs may contact OCFRgrants@asu.edu to inquire about these services. For urgent requests, please copy Shaun Brenton

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 ocfrgrants@asu.edu. Requests should be sent with as much notice as possible and include the date by which the signature is needed. ASUF meets once a week with their CFO to obtain signatures.  This should be taken into consideration when making arrangements for a needed signature. For urgent requests, please copy Shaun Brenton on your message to ocfrgrants@asu.edu.

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

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 are 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 & Assurance (ORIA) website.

BUDGET JUSTIFICATION

All budgets which include funds for F&A must also include the follow statement verbatim:   "A percentage of the funds will be paid to the ASU Foundation in consideration for their services in support of this project.”  

Cost Sharing

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&A Rates

What is the appropriate F&A rate?

Charitable gift/grant proposals should use the sponsor’s published, uniformly applied policy. Where the sponsor does not have a policy, 11% of all direct costs (Total Direct Costs/TDC) should be used.

Does this same policy apply to the transfer in of charitable gifts/grants

Yes, the same policy applies to all charitable gifts/grants.

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&A restriction is outlined in the funding opportunity announcement (FOA), published on their website or in their Sponsor guidelines.  A letter signed by the Sponsor’s Authorized Representative (i.e.... CEO, CFO, etc.) will be reviewed on a case by case basis by the assigned PNT GCO for acceptability.  If acceptable, an F&A waiver is not needed. Letters and emails from For-Profit Sponsors (i.e, Industry) will not be accepted.  

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&A Wizard for appropriate rates.

When is a waiver required?

Published, uniformly applied F&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&A policy < 11% TDC

OKED waiver required

F&A < 11% TDC and no policy

OKED waiver required

WAIVERS WHICH REQUEST A RATE LESS THAN 5% TDC WILL BE DECLINED

Who needs to sign off on the waiver?

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

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

No.

 

Post-Submission Activities/Follow Up

If the charitable organization (i.e. Sponsor) contacts the PI for additional information, what should be done?

The PI should notify their RA of the request received. The RA will then notify ASUF, award grantee, of the request received.  ASUF will then work with and complete any actions needed with the charitable organization.


What actions should be taken when an award needs to be processed along with the ATF?

  • Answer “Yes” to ERA Smart Form 1.1 Q8 to confirm ATF.
     
  • As parallel actions, RA will:
    • Contact assigned GCO by running the ERA Activity -   to complete their full institutional review of the proposal.   Note: For any proposal that is to be funded, the preference is for PNT and OIRC to complete their full institutional review prior to submission.  In the event of an ATF and other situations, this may not be possible and will need to be completed prior to account establishment or account establishment will be delayed.
       
    • There are 2 ways to find out if a proposal has been fully reviewed by PNT or OIRC – (1) Access the report Proposals Submitted With No Review and search by FP Number in the Find field.  Then if nothing is found, the proposal is fully reviewed or (2) In the History section of the ERA Workspace, click: 
       
    • Send Award to ASUF at ocfrgrants@asu.edu. For urgent requests, copy Shaun Brenton.

 

  • ASUF will review the award for compliance with them as the grantee and for administration by ORSPA.   If changes are needed to the award, ASUF will work directly with the charitable organization.  When award is acceptable, ASUF will send signed award to notifications@asu.edu    Note:  ASUF will only involve PNT or OIRC in review/negotiation of award when they are unclear if ORSPA could properly administer the award.

What happens if an award intended for ASUF comes to ASU? How should this situation be handled?

Contact assigned GCO by running the ERA Activity - of this situation.  PNT or OIRC will notify ASUF of this situation and see how ASUF would like to proceed.   The RA will be notified by the assigned GCO on the decision made and the decision will be documented in ERA as a public comment.

The outcomes could be:

  • ASUF chooses to contact the charitable organization and request a change of the grantee from ASU to ASUF.
     
  • ASUF chooses to relinquish the award to ASU.  PNT or OIRC will update the proposal workspace Sponsor field to reflect this change.  There will be no changes to the F&A rate submitted in the proposal package.
     
    • If F&A costs were included, ASUF may want to recoup their 5%.  In this event, if a Contract Task is not needed for processing, then PNT or OIRC GCO will run the activity  and include notes within the activity for coordination of this return with Fiscal Oversight back to ASUF.

How should follow up with the sponsor on a pending award be handled?

Send a request for follow up to ocfrgrants@asu.edu.   Be specific in what is being requested.  Include the FP number. For urgent requests, copy Shaun Brenton on your message to ocfrgrants@asu.edu

Example:   FP299 was submitted on March 21, 2018.   The sponsor indicated that all decisions would be made by July 15, 2018.   Please follow up to determine the status of the gift/grant.

 

ASUF Administrative Information

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 Office of Corporate and Foundation Relations page.

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