Research and Sponsored Projects Manual (RSP)

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Effective: 1/1/1987

Revised: 11/1/2007

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RSP 601: Coordination of Proposal Submissions to Foundation Sponsors by ORSPA and the ASU Foundation

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Purpose

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To provide guidelines for determining which administrative office is responsible for coordinating the submission of proposals to corporate and foundation Presidential Prospects

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Sources

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Office for Research and Sponsored Projects Administration
Office of Foundation Relations
Office of Corporate Relations

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Applicability

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All grants and gifts awarded or donated to ASU from foundation sources outside the university

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Background

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The Office for Research and Sponsored Projects Administration (ORSPA) and the Arizona State University Foundation (ASUF) agree to coordinate the solicitation of foundation sponsors at the earliest opportunity in the proposal/award process. Ideally, this is when a decision is made to prepare a proposal for submission. Close coordination is necessary to ensure that the proposal will be acceptable to the prospective sponsor, successful in maximizing the gift or grant for the university, and managed in accordance with university and sponsor guidelines.

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Policy

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The Office for Research and Sponsored Projects Administration (ORSPA) has primary responsibility for securing and administering grants, contracts, and other agreements (sponsored projects) from external funding sources with legal, financial, or other restrictions. External funding agencies include local, state, and national governments as well as private foundations, businesses, and industries. Proposals submitted in response to a request for proposal or other formal solicitation are the responsibility of ORSPA. Restricted grants, contracts, and collaborative agreements awarded to ASU are administered by ORSPA regardless of which office coordinates proposal development, review, and submission.

The Arizona State University Foundation (ASUF) has primary responsibility for fundraising and other development activities that result in unrestricted gifts accepted on behalf of ASU. Unsolicited proposals to corporate and private foundations are the responsibility of the ASUF. Whenever ORSPA learns that a foundation proposal is being prepared for submission through ORSPA, the ASUF will be notified. Whenever the ASUF learns that a foundation proposal that is likely to result in a restricted award is being prepared, ORSPA will be notified.

In particular, the ASUF is responsible for coordinating and approving the submission of informal and unsolicited proposals to all “Presidential Prospects” on behalf of the President’s Office. Contact the ASUF for a current ruling on Presidential Prospects. All proposals to Presidential Prospects require the approval of the ASUF prior to submission, in addition to the regular ORSPA approvals. However, all parties understand and agree that foundation proposals submitted under a formal solicitation will be submitted by ORSPA without ASUF approval if required to meet a deadline. It will be the ASUF’s responsibility to resolve the ultimate disposition of the proposal once submitted.

The decision to classify a source of support as an unrestricted gift or grant or as restricted sponsored project funding will be coordinated among ORSPA, the ASUF, and the ASU Office of Financial Services without regard to financial considerations, including indirect cost recovery. Administrative responsibility is a function of university obligations under the guidelines, terms, and conditions of the application or award. Funds may be transferred from the ASUF to ORSPA following award if dictated by the terms and conditions of the notice of award.

To facilitate the working relationship between ORSPA and the ASUF, the parties agree to share regular status reports about pending proposals.

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

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