Research and Sponsored Projects Manual (RSP)

Interim Posting

Note: At the request of the provost, a vice provost, or a vice president, this policy has been posted in the interim between scheduled posting dates by University Policy Manuals Group because it has significant and urgent importance for the university community. This policy will be included in the publication process by the next feasible posting for online policies and procedures.


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Effective: 1/1/1992

Revised: 11/16/2015

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RSP 503–05: Subaward Agreements

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Purpose

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To assure university compliance with federal, state, and ABOR requirements for the issuance of subawards

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Sources

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Department of Defense FAR Supplement (DFAR) Subpart 244
Arizona Board of Regents Policy Manual - 3-801 – 3-810, “University Procurement Code”

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Applicability

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This policy applies to all subawards issued by ASU under a sponsored project. It is the responsibility of the Office of Research and Sponsored Projects Administration (ORSPA) to ensure that proposed subawards are compliant with applicable federal, state, and ABOR laws, regulations, and statutes. ORSPA will exercise due diligence in the review, evaluation, and selection of subawards to make certain that an appropriate and compliant subaward is awarded.

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Policy

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The Research Operations executive director and/or his/her designee(s) has the responsibility, on behalf of ASU, to conduct or be involved in all formal negotiations with subawardees to establish contractual relationships under all sponsored projects. The director’s involvement is intended to assure, to the maximum extent practical, that the procurement:

  1. provides open and free competition
  2. does not present a conflict of interest
  3. complies with all federal, ABOR, and university statutes, regulations, and policies

    and

  4. is properly documented.

ORSPA will determine whether prior approval is required to initiate or amend a subaward, based on sponsor terms and conditions. ORSPA will include, as flow-down provisions, all applicable clauses in the ASU award. Subaward agreements are obligated using the ASU financial system in place upon agreement execution.

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Cross-Reference

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For authoritative references, see RSP 101, “General Research Policy.”

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