![[horizontal rule]](rsphr.gif)
| Effective: 12/2/1985 |
Revised: 3/1/2009 |
![[ASU logo]](asu.gif) |
RSP 103: Principal
Investigator Responsibilities |
![[horizontal rule]](rsphr.gif)
Purpose
To summarize the responsibilities of the principal
investigator
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Sources
Office of the Vice President for Research and Economic
Affairs
Office for Research and Sponsored Projects
Administration
![[horizontal rule]](rsphr.gif)
Policy
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.
ProposalD
| 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
- Human Subjects
- Care & Use of Laboratory Animals
- Radiation Safety
- Hazardous Waste Management
- Biosafety
- Objectivity in Research—Disclosure of Financial Interests
and Management of Conflicts of Interest
- Scientific Diving
- Misconduct in Research
Assurances
- Security Clearances
- Certification of a Drug-Free Workplace
- Procurement Integrity
|
- RSP 201–01
- RSP 202
- RSP 203
- RSP 204
- RSP 205
- RSP 206
- RSP 207
- RSP 210
- RSP 213–01
- RSP 213–02
- 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
- Personnel
- Conference Registration for ASU Employees
- Conference Registration for Non-ASU Employees
- Consultants, Lecturers, and Other Professionals
- Cost Sharing
- Direct Charging of F&A Costs
- F&A rate
- Sub-Contracts
- Supplemental Pay
- Travel
- Tuition Waivers
|
RSP 303
- RSP 502–01
- RSP 504–04
- RSP 504–05
- RSP 503–03
- RSP 506–03
- RSP 508–01
- RSP 508–02
- RSP 503–05
- RSP 502–01
- RSP 504–01
- RSP
502–05
|
| Understand how the university protects
confidentiality of proposal contents |
RSP
304 |
endtable1
NegotiationD
| 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
- classified
information
- proprietary
information
- publications
- Arizona Board of Regents’ Intellectual Property Policy
(6-908)
|
- RSP 404
- RSP 405
- RSP 406
- 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 |
endtable2
Award and
Project ManagementD
| Responsibility |
Policy Reference |
| Establish a Sponsored Project
Account |
RSP
501 |
Compliance and Assurances
Management
Compliance
- Human Subjects
- Care & Use of Laboratory Animals
- Radiation Safety
- Hazardous Waste Management
- Biosafety
- Objectivity in Research—Disclosure of Financial Interests
and Management of Conflicts of Interest
- Scientific Diving
- Misconduct in Research
Assurances
- Security Clearances
- Certification of a Drug-Free Workplace
- Procurement Integrity
|
- RSP 201–01
- RSP 202
- RSP 203
- RSP 204
- RSP 205
- RSP 206
- RSP 207
- RSP 210
- RSP 213–01
- RSP 213–02
- RSP
213–03
|
Personnel Management
- Staff the project
- Charge leave, absences, and sabbatical costs for personnel paid
from sponsored projects
- Document the effort and pay of
university employees paid from a sponsored project, including
contributed effort
designated as cost
sharing
|
- RSP 502–01
- RSP 502–02
- RSP
502–03
|
Purchasing Management
- Approve purchase requests for sponsored projects and internal
grants
- Understand the criteria for justifying and managing cash
advances
- Hire Consultants, Lecturers, and Other Professionals
- Understand restrictions on any purchase from a university
employee
- Understand ORSPA’s role in developing, negotiating, and
administering subcontracts
and subgrants
|
- RSP 503–01
- RSP 503–02
- RSP 503–03
- RSP 503–04
- RSP
503–05
|
Travel Management
- Sponsored Projects travel
- Verify that requests for conference registration and travel,
made by project staff (ASU employees) are allowable
|
- RSP 504–01
- RSP
504–05
|
Equipment and Property Management
- Equipment Acquisition
- Donated or Loaned Property
- Property Management
- Space Rental and Equipment Use Fees for Research
- Disposal of Equipment Acquired with Federal
Funds
|
- RSP 505–01
- RSP 505–02
- RSP 505–03
- RSP 505–04
- RSP
505–05
|
Project Finances Management
- Understand the required documentation for reimbursement of
out-of-pocket expenses
- Understand how to justify reassignment of an expense initially
charged against another source of funds to a sponsored project
account
- Comply with requirements for identifying, authorizing, and
documenting cost sharing
contributions
- Understand acceptable options for covering project costs when a
sponsor fails to meet its financial obligation
- Comply with federal requirements concerning consistent
treatment of direct costs,
and facilities &
administrative (F&A) costs (overhead or indirect
costs)
|
- RSP 506–01
- RSP 506–02
- RSP 506–03
- RSP 506–04
- RSP 508–01, –02
|
Award Modifications
- Secure ASU and sponsor
approval for any modification or revision to a sponsored project agreement
- Determine which administrative actions can be streamlined as a
result of expanded authorities granted to ASU by certain federal
sponsors
- Assess/modify project budgets when there are changes in the
university’s negotiated facilities & administrative rates
during the performance period of the sponsored
project
|
- RSP 507–01
- RSP 409
- RSP
508–02
|
Project Closeout
- Coordinate the closeout of a sponsored project
- Submit all reports and deliverables required by the funding
agency
- Dispose of residual balances on fixed price agreements
- Cover deficits on project account(s)
|
- RSP 509–01
- RSP 509–02
- RSP 509–03
- 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 |
endtable3
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
For more information on general policies that define the
research environment at ASU see:
- RSP 101, “General Research
Policy”
and
- RSP 102, “Principal
Investigator Eligibility.”
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