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Effective: 12/2/1985

Revised: 10/12/2004

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[ASU logo] RSP 103: Principal Investigator Responsibilities

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Purpose
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To summarize the responsibilities of the principal investigator

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Sources
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Office of the Vice President for Research and Economic Affairs
Office for Research and Sponsored Projects Administration

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Policy
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Sponsored project agreements are legally binding agreements between the sponsor and the Arizona Board of Regents (ABOR), acting for and on behalf of ASU. However, the principal investigator (PI) has primary responsibility for the management of his or her sponsored project in accordance with federal, state, university, and sponsor requirements.

The Office for Research and Sponsored Projects Administration (ORSPA) helps the PI address the requirements governing proposal preparation, award negotiation, and post-award management.

Proposal

Responsibility Policy Reference
Determine when a proposal should go through ORSPA or the ASU Foundation RSP 601
Allocate recognition, research incentive distribution, and investigator incentive award percentages RSP 106
Request institutional approval to submit a proposal when sponsor guidelines limit the number of proposals that ASU may submit for a specific competition RSP 301
Secure appropriate authorizations for formal, continuation, supplemental, and revised proposals for projects to be conducted under the purview of the university RSP 302
Meet all compliance and assurance requirements that govern each proposed project

Compliance

  1. Human Subjects

  3. Care & Use of Laboratory Animals

  5. Radiation Safety

  7. Hazardous Waste Management

  9. Biosafety

  11. Objectivity in Research—Disclosure of Financial Interests and Management of Conflicts of Interest

  13. Scientific Diving

  15. Misconduct in Research

Assurances

  1. Security Clearances

  3. Certification of a Drug-Free Workplace

  5. Procurement Integrity

  

 

  1. RSP 201–01, –02, –03

  3. RSP 202

  5. RSP 203

  7. RSP 204

  9. RSP 205

  11. RSP 206


  13. RSP 207

  15. RSP 210

 

  1. RSP 213–01

  3. RSP 213–02

  5. RSP 213–03
Prepare proposal budgets that are accurate and comply with the requirements of the university and the sponsor, including federal/state government policies and regulations
  1. Personnel

  3. Conference Registration for ASU Employees

  5. Conference Registration for Non-ASU Employees

  7. Consultants, Lecturers, and Other Professionals

  9. Cost Sharing

  11. Direct Charging of F&A Costs

  13. F&A rate

  15. Sub-Contracts

  17. Supplemental Pay

  19. Travel

  21. Tuition Waivers

 RSP 303
 
  1. RSP 502–01

  3. RSP 504–04

  5. RSP 504–05

  7. RSP 503–03

  9. RSP 506–03

  11. RSP 508–01

  13. RSP 508–02

  15. RSP 503–05

  17. RSP 502–01

  19. RSP 504–01

  21. RSP 502–05
Understand how the university protects confidentiality of proposal contents RSP 304

Negotiation

Responsibility Policy Reference
Submit all binding agreements to the Office for Research and Sponsored Projects Administration for review, approval, and signature RSP 401
Understand ABOR/university standards when addressing terms and conditions within pending agreements
  1. classified information

  3. proprietary information

  5. publications

  7. Arizona Board of Regents’ Intellectual Property Policy (6-908)
 
  1. RSP 404

  3. RSP 405

  5. RSP 406

  7. RSP 604; specifically RSP 402 (Patents), RSP 403 (Copyrights)
Provide adequate notice to ORSPA of preaward site visits from representatives of potential sponsors RSP 408
Understand the circumstances under which prestart date spending may be allowed RSP 409
Understand the process and financial risk associated with spending on a sponsored account prior to the receipt of the award notice RSP 410

Award and Project Management

Responsibility Policy Reference
Establish a Sponsored Project Account RSP 501
Compliance and Assurances Management

Compliance

  1. Human Subjects

  3. Care & Use of Laboratory Animals

  5. Radiation Safety

  7. Hazardous Waste Management

  9. Biosafety

  11. Objectivity in Research—Disclosure of Financial Interests and Management of Conflicts of Interest

  13. Scientific Diving

  15. Misconduct in Research

Assurances

  1. Security Clearances

  3. Certification of a Drug-Free Workplace

  5. Procurement Integrity

  

 

  1. RSP 201–04, –05

  3. RSP 202

  5. RSP 203

  7. RSP 204

  9. RSP 205

  11. RSP 206


  13. RSP 207

  15. RSP 210

 

  1. RSP 213–01

  3. RSP 213–02

  5. RSP 213–03
Personnel Management
  1. Staff the project

  3. Charge leave, absences, and sabbatical costs for personnel paid from sponsored projects

  5. Document the effort and pay of university employees paid from a sponsored project, including contributed effort designated as cost sharing
  
  1. RSP 502–01

  3. RSP 502–02


  5. RSP 502–03
Purchasing Management
  1. Approve purchase requests for sponsored projects and internal grants
  2. Understand the criteria for justifying and managing cash advances
  3. Hire Consultants, Lecturers, and Other Professionals
  4. Understand restrictions on any purchase from a university employee
  5. Understand ORSPA’s role in developing, negotiating, and administering subcontracts and subgrants
  
  1. RSP 503–01
  2. RSP 503–02
  3. RSP 503–03
  4. RSP 503–04
  5. RSP 503–05
Travel Management
  1. Sponsored Projects travel

  3. Verify that requests for conference registration and travel, made by project staff (ASU employees) are allowable
  
  1. RSP 504–01

  3. RSP 504–05
Equipment and Property Management
  1. Equipment Acquisition

  3. Donated or Loaned Property

  5. Property Management

  7. Space Rental and Equipment Use Fees for Research

  9. Disposal of Equipment Acquired with Federal Funds
  
  1. RSP 505–01

  3. RSP 505–02

  5. RSP 505–03

  7. RSP 505–04

  9. RSP 505–05
Project Finances Management
  1. Understand the required documentation for reimbursement of out-of-pocket expenses
  2. Understand how to justify reassignment of an expense initially charged against another source of funds to a sponsored project account
  3. Comply with requirements for identifying, authorizing, and documenting cost sharing contributions
  4. Understand acceptable options for covering project costs when a sponsor fails to meet its financial obligation
  5. Comply with federal requirements concerning consistent treatment of direct costs, and facilities & administrative (F&A) costs (overhead or indirect costs)
  
  1. RSP 506–01

  3. RSP 506–02

  5. RSP 506–03

  7. RSP 506–04

  9. RSP 508–01, –02
Award Modifications
  1. Secure ASU and sponsor approval for any modification or revision to a sponsored project agreement

  3. Determine which administrative actions can be streamlined as a result of expanded authorities granted to ASU by certain federal sponsors

  5. Assess/modify project budgets when there are changes in the university’s negotiated facilities & administrative rates during the performance period of the sponsored project
  
  1. RSP 507–01


  3. RSP 409


  5. RSP 508–02
Project Closeout
  1. Coordinate the closeout of a sponsored project

  3. Submit all reports and deliverables required by the funding agency

  5. Dispose of residual balances on fixed price agreements

  7. Cover deficits on project account(s)
  
  1. RSP 509–01

  3. RSP 509–02

  5. RSP 509–03

  7. RSP 509–04
Understand how the university manages public access to sponsored project information and award records RSP 510–01
Participate in audits and programmatic reviews RSP 510–02

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 more information on general policies that define the research environment at ASU see:

  1. RSP 101, “General Research Policy”

    and

  2. RSP 102, “Principal Investigator Eligibility.”

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