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Effective: 12/2/1985 |
Revised: 3/1/2022 |
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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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Knowledge Enterprise(KE)
Office for Research and Sponsored Projects
Administration (ORSPA)
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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 Preparation
Policy Requirement |
Policy Reference |
General |
RSP
101 |
Coordination of Proposal Submissions to Foundation Sponsors by ORSPA and the ASU Foundation |
RSP
601 |
Allocation of Recognition, Research Incentive Distribution, and Investigator Incentive Awards |
RSP
106 |
Limited Submission of Proposals |
RSP
301 |
Proposal Processing and Submission |
RSP
302 |
Disclosure of Proposals-Award Information under the Arizona Public Records Act and the Freedom of Information Act |
RSP
104 |
Lead Unit Identification and Responsibilities |
RSP
107 |
Compliance
- Human Subjects in Research
- Care & Use of Laboratory Animals
- Radiation Safety in Research and Teaching
- Hazardous Waste Management
- Biosafety
- Objectivity in Research—Disclosure of Financial Interests
and Management of Conflicts of Interest
- Standards for Scientific Diving
- Misconduct in Research
- Export Control
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 214
- 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 Employed on Sponsored Projects
- Conference Registration Costs for ASU Employees on Sponsored Projects
- Sponsored Project Travel and Related Costs (Non-ASU Employees)
- Consultants, Lecturers, and Other Professional Services for Sponsored Projects
- Cost Sharing Documentation for Sponsored Projects
- Charging Direct and F&A Costs to Sponsored Projects
- F&A Costs
- Subaward Agreements
- Personnel Employed on Sponsored Projects
- Sponsored Projects Travel for ASU Employees
|
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
|
Disclosure of Proposal-Award Information under the Arizona Public Records Act and the Freedom of Information Act |
RSP
104 |
endtable1
Award Negotiation
Policy Requirement |
Policy Reference |
Agreement Negotiation and Acceptance |
RSP
401 |
Understand ABOR/university standards
when addressing terms and conditions within pending agreements
- Classified and Proprietary Research
- Publications
- Intellectual Property Management Implementation
|
- RSP 404
- RSP 406
- RSP 604
|
Pre-award Site Visits |
RSP
408 |
Travel of Research Investigators to Potential Sponsors |
RSP
605–02 |
endtable2
Post-Award and
Project Management
Policy Requirement |
Policy Reference |
Establishment of a Sponsored Project
Account |
RSP
501 |
Compliance and Assurance
Management
Compliance
- Human Subjects in Research
- Care & Use of Laboratory Animals
- Radiation Safety in Research and Teaching
- Hazardous Waste Management
- Biosafety
- Objectivity in Research—Disclosure of Financial Interests
and Management of Conflicts of Interest
- Standards for Scientific Diving
- Misconduct in Research
- Export Control
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 214
- RSP 213–01
- RSP 213–02
- RSP
213–03
|
Personnel Management
- Personnel Employed on Sponsored Projects
- Leaves and Absences for Sponsored Project Personnel
- After the Fact Review and Acknowledgement of Personnel Costs
|
- RSP 502–01
- RSP 502–02
- RSP
502–03
|
Purchasing Management
- Purchase Requests on Sponsored Projects and Internal Grant Programs
- Sponsored Project Cash Advances
- Consultants, Lecturers, and Other Professional Services for Sponsored Projects
- Subaward Agreements
|
- RSP 503–01
- RSP 503–02
- RSP 503–03
- RSP
503–05
|
Travel Management
- Sponsored Projects Travel for ASU Employees
- Conference Registration Costs for ASU Employees on Sponsored Projects
- Sponsored Project Travel and Related Costs (Non-ASU Employees)
|
- RSP 504–01
- RSP
504–04
- RSP
504–05
|
Equipment and Property Management
|
RSP 505–06 |
Sponsored Project Finance Management
- Cost Transfers to Sponsored Projects
- Cost Sharing Documentation for Sponsored Projects
- Guaranteeing Delinquent Sponsored Projects Accounts
- Charging Direct and Facilities & Administrative Costs to Sponsored Projects
- Facilities & Administrative Costs
|
- RSP 506–02
- RSP 506–03
- RSP 506–04
- RSP 508–01
- RSP 508–02
|
Award Modifications
- Sponsored Project Award Changes
- Facilities & Administrative Costs
|
- RSP 507–01
- RSP
508–02
|
Project Closeout
- Reports and Deliverables from Sponsored Projects
- Financially Closing Out Fixed Price Agreements
- Sponsored Project Agency/Org Deficit/Account Closeout
|
- RSP 509–02
- RSP 509–03
- RSP
509–04
|
External 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
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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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