Research and Sponsored Projects Manual (RSP)

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Effective: 3/1/1983

Revised: 11/1/2010

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RSP 401: Agreement Negotiation and Acceptance

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Purpose

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To protect the interests of the university by ensuring that award terms and conditions are acceptable under the statutes of the State of Arizona and the policies of ASU and the Arizona Board of Regents

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Sources

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Arizona Revised Statutes
Arizona Board of Regents Policy Manual -3-203; 3-204; 3-206 and 3-207
Office for Research and Sponsored Projects Administration (ORSPA)

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Policy

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The Office for Research and Sponsored Projects Administration will, on behalf of ASU, conduct all negotiations between potential sponsors and the university regarding prospective sponsored projects.

All external agreements that obligate ASU to specific terms and conditions or financial commitments for sponsored projects require the formal approval of a university official authorized to contractually bind the university. For this reason, all agreements related to research and sponsored projects, including, but not limited to, grants, cooperative agreements, contracts, purchase orders, Interagency Service Agreements, Intergovernmental Agreements, letter agreements, and Uniform Commercial Code (UCC) financing documents must be submitted to the Office for Research and Sponsored Projects Administration for review, approval, and signature.

Note:In cases where a sponsor may not require ASU signature, ORSPA review and approval is still required.

The list of university officials authorized to bind the university can be found in the Purchasing Policies and Procedures Manual (PUR), under PUR 202, “Contract Signature Authority.”

Research agreements with sponsors who have licenses for pre-existing ASU intellectual property or options for prospective ASU intellectual property require coordination with Arizona Technology Enterprises LLC.

New contractual agreements for $1 million or more and renewals or continuations of contractual agreements for $1.5 million or more must be submitted to the Arizona Board of Regents for approval, per ABOR policies 3-203 and 3-206. Intergovernmental agreements and all agreements with another state agency or political subdivision of the State of Arizona that exceed $1 million for the term of the agreement or any renewal period must be submitted to the Arizona Board of Regents for approval, per ABOR policy 3-204. In accordance with ABOR policy 3-207, agreements must be submitted for ABOR approval if the agreements require the expenditure or commitment of any institutional funds, personnel, or other resources not included in the proposed budget.

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Cross-References

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For information about coordination with the Development Office and the ASU Foundation, see RSP 601, “Coordination of Proposal Submissions to Foundation Sponsors by ORSPA and the ASU Foundation.”

For information about authority for signing contracts and other agreements, see the Purchasing and Business Services Policies and Procedures Manual— PUR 202, “Contract Signature Authority.”

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