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Pre-Award

Last updated: 06/21/2022 - 12:21pm
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 + Contract Officer

FP - Funding Proposal

IRB - Institutional Review Board

OCFR - Office of Corporate and Foundation Relations

CFO - Chief Financial Officer

ASU - Arizona State University

IAG - Industry Agreements Group

ASUF - ASU Foundation

ATF - After the Fact

ORSPA - Research Operations

PI - Principal Investigator

PNT - Proposal and Negotiation Team

ResOps - Research Operations 

KE - Knowledge Enterprise

For definitions, see Acronyms and Glossary page.

Introduction

Charitable gifts/grants follow the same guidelines regardless of whether ASUF or KE 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-profit
  • The sponsor is a federal agency 
  • ASU is a subgrantee
  • The award is being transferred into ASU from another institution
  • The application portal or format requires that the University be listed (system limitation, etc.)
  • The work being performed will provide a commercial benefit to the sponsor 

In these limited circumstances, ASU/ORSPA would be the applicant. 

Also, if the sponsor is a foreign entity, it may be necessary for ASU to be the applicant institution (rather than ASUF).

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.

 

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.

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 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  activity from the proposal workspace, add Jenny BickfordShaun Brenton, and Paco Madden 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 PI/Unit in the area of grant writing and proposal review and comment.   PIs/Units 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 Treasurer 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.

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 FY23 FY24 FY25 FY26 FY27
$0 - $999,999      $0 $0 $0 $0 $0
$1M - $2,999,999 $8,355 $8,606 $8,864 $9,130 $9,404
$3M - $5,999,999 $20,888 $21,515 $22,161 $22,825 $23,510
Over $6M $41,777 $43,030 $44,321 $45,651 $47,020

BUDGET JUSTIFICATION

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&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.”  
  • The following language can be used when justifying the central research administration vendor/service line as an Other Direct Cost:
    • Sponsored Management Solutions & Support - Funds have been budgeted for Sponsored Management Solutions & Support, to manage legal, financial, administrative, and compliance activities under this award. Sponsored Management Solutions & 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 & 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

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 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&A restriction is outlined in the funding opportunity announcement (FOA), published on their website or in their Sponsor guidelines.  Letters and emails from Sponsors will not be accepted. For assistance with requesting that a sponsor publish their rate policy, please contact the ASUF OCFR Team well in advance of the proposal deadline (~2 weeks notice 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&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

KE waiver required

F&A < 11% TDC and no policy

KE 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 an After-the-Fact (ATF) Proposal?

  • Answer “Yes” to ERA Smart Form 1.1 Q8 to confirm ATF.
     
  • As parallel actions, RA will:
    1. 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 the Proposal GCO 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 award activation or account establishment will be delayed. *See note below.
    2. Send Award to ASUF at ocfrgrants@asu.edu. For urgent requests, copy Shaun Brenton.
    • *Note: There are 2 ways to find out if a proposal has been fully reviewed by a Proposal GCO – (1) Access the report Proposals Submitted With No Review and search by FP Number in the Find field - if nothing is found, the proposal is fully reviewed or (2) In the History section of the ERA Workspace, click: 
       
  • ASUF will review the award to ensure that compliance with terms and conditions is possible with ASUF as the grantee and  ORSPA administering.   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 IAG in review/negotiation of award when they are unclear if ORSPA could administer specific terms of 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 - .  PNT or IAG will notify ASUF of the 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 IAG 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 IAG 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, 2020.   The sponsor indicated that all decisions would be made by July 15, 2020.   Please follow up to determine the status of the grant.

 

 
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