Research and Sponsored Projects Manual (RSP)

Effective: 1/1/1987

Revised: 3/1/2006

RSP 304: Disclosure of Proposal-Award Information under Freedom of Information Act

Purpose

To protect the confidentiality of proposals and awards

Sources

5 United States Code §552

Executive Office of the President of the United States—Office of Administration, Availability of Records under the Freedom of Information Act (FOIA)

Arizona Revised Statutes § 15–1640, Public records exemption; intellectual property; historical records; donor records; Title 39 Public Records, Printing and Notices

Office for Research and Sponsored Projects Administration

Policy

Arizona State University Office for Research and Sponsored Projects Administration (ORSPA) official records may be obtained and made available to members of the public to the extent that is allowable by ARS § 15–1640.

Since proposals are developed through the initiative of the principal investigator (PI) and may represent unpublished original ideas or lines of inquiry, then, except as may be required by law, proposals should not be disclosed before an award is received unless the principal investigator provides permission to disclose. Therefore, for proposal information in the Office for Research and Sponsored Projects Administration: only ASU employees who have administrative and/or organizational responsibility for the award (e.g., appropriate chairs, deans, vice presidents), and general counsel, plus members of the Board of Regents may review the files on request. Prior to award, proposals are subject to protection under Arizona Revised Statutes § 15–1640 and other applicable law.

Other ASU employees or private individuals who request access to a proposal file must process a written request and may review the file only with written permission from the principal investigator or as required by law as determined by university’s Office of General Counsel (OGC).

Note:

ASU requests for records under the Freedom of Information Act (FOIA) must be processed through the Office of General Counsel.

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