Research and Sponsored Projects Manual (RSP)

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Effective: 1/1/1987

Revised: 11/1/2015

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RSP 101: General Research Policy

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Purpose

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To maintain institutional eligibility for sponsored projects

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Source

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Office of Knowledge Enterprise Development (OKED), Operations, Research Operations

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Policy

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ASU encourages all eligible members of the university community to seek support for their instructional, research, public service, and other creative activities.

In order to protect institutional eligibility for sponsored project funding, ASU must comply with federal, state, and sponsor requirements for programmatic, regulatory, fiscal, and property stewardship. Therefore, principal investigators (PIs) must comply with the requirements governing each proposal and award. The Office for Research and Sponsored Projects Administration (ORSPA) is responsible for verifying PI compliance and providing certifications of university compliance to sponsors, upon request.

Prior to December 26, 2014, sponsored project funding for grants and cooperative agreements from federal and sub-federal sources was governed by OMB Circulars A-21 (Cost Principles for Educational Institutions) at https://www.whitehouse.gov/omb/circulars_a021_2004/, A-110 (Uniform Administrative Requirements for Awards and Other Agreements with Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations) at https://www.whitehouse.gov/omb/circulars_a110/, and A-133 (Audits of States, Local Governments, and Non-Profit Organizations) at https://www.whitehouse.gov/sites/default/files/omb/assets/a133/a133_revised_2007.pdf.

Effective December 26, 2014, new federal and sub-federal grants and cooperative agreements and funding increments for existing federal and sub-federal awards are governed by 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=11418abd8394d7ba2e7049f1f4d8c56d&mc=true&n=pt2.1.200&r=PART&ty=HTML; also referred to as Uniform Guidance. FAR-based (Federal Acquisition Regulation) contracts are subject to the cost principles in 2 CFR Part 200, Subpart E and the audit requirements in Subpart F. The other subparts of the Uniform Guidance are also applicable to FAR-based contracts to the extent the Uniform Guidance provisions are not inconsistent with the terms and conditions of the contract and FAR requirements.

To determine the order of precedence and authoritative guidance applicable to a specific sponsored project, the award documents should be referenced.

For more information on how RSP policies are implemented during each phase of a project, see the ORSPA Web site.

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Cross-References

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For additional information about the eligibility criteria for becoming a principal investigator, see RSP 102, “Principal Investigator Eligibility.”

For additional information about the responsibilities of a principal investigator after an award is funded, see RSP 103, “Principal Investigator Responsibilities.”

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