If you are new to the ASU research community (either a new researcher or a new-to-ASU researcher), it is important to know early in the funding process that there are responsibilities that any sponsored award leaderneeds to fulfill.
The sponsored award leader is the lead on a funded research project or program and is integral in seeking funding, proposal writing, and research activities. There may be multiple co-PIs involved in large-scale projects or programs.
This page serves as an introduction to sponsored award leader responsibilities throughout the entire project or program life-cycle.
Definition: A sponsored award leader is designated by the recipient (ASU) to direct the project or program being supported by sponsored funding.
S/he is responsible and accountable to the University for the proper conduct of the project or program. ASU is, in turn, legally responsible and accountable to the Sponsor for the performance and financial aspects of the sponsored activity.
Familiarize yourself with the services and support ASU offers to researchers throughout the entire research life cycle, from locating funding opportunities to commercializing new technologies. Resources are applicable for new and tenured researchers at ASU.
Sponsored Award Leader Responsibilities
Proposal Responsibilities
Provide guidance and information to the Research Advancement (RA) staff as they develop and/or process proposals for which you will serve as sponsored award leader.
Review and Approve ERA Funding Proposals (FPs) as sponsored award leader, including:
Confirm that the appropriate ASU unit is listed as the Lead Financial Unit (LFU)
Confirm that the appropriate department(s), college(s), and center(s)/institute(s) are listed in the investigator allocations table
Review of investigator allocations (REC/RID/IIA) to ensure appropriate splits
Review the Project Summary (or Abstract, or Statement of Work), Budget, and Budget Justification to ensure all is appropriate from your perspective
Identify any Special Review aspects that you will be responsible for managing and overseeing (see Compliance Responsibilities section below)
Compliance Responsibilities
If applicable for any projects that you lead as sponsored award leader:
Disclose any financial conflicts of interest (COI).
Submit applications for Institutional Review Board (IRB) approval for projects that involve human subjects; Institutional Animal Care and Use Committee (IACUC) approval for projects that involve laboratory animals; and Institutional Biosafety Committee (IBC) approval for research that utilizes recombinant or synthetic nucleic acid molecules, biohazards or infectious agents, select agents and toxins, or dual use research of concern (DURC).
Agreement Negotiation Responsibilities
Review and approve terms and conditions in agreements for which you will serve as sponsored award leader.
Award Management and Project Execution Responsibilities
Provide guidance and information to your post-award RA/Finance partners as they manage unit-level responsibilities on the awards for which you will serve as sponsored award leader.
Ensure technical reports are prepared and submitted timely.
Review and approve award modifications in ERA.
Review and approve expenditures in Workday.
Review award budget balance and expenditure activity on at least a monthly basis with KE Finance partner.
Review and acknowledge After the Fact (ATF) Payroll Review Reports.
Research Security
It is our shared obligation to remain informed, diligent, and transparent in research collaborations. This includes adhering to ASU, sponsor, and federal regulations.
Export control regulations are federal laws governing the export, transfer, or sharing of certain commodities or information for reasons of national security or protections of trade.
Foreign Influence It is important to understand all of the things to be considered and understood in international engagement activities, such as reporting requirements, data privacy laws, federal security, and control regulations. CITI Program provides ASU researchers with Undue Foreign Influence: Risks and Mitigations training.
We know that research administration is complicated and challenging work. This on-demand material provides an introduction to the basic concepts of research administration and an explanation of how research administration works at ASU. (Note: If prompted, click Subscribe to Group to gain access to this content.)
The Facilities and Administrative Rate (F&A Rate) is the mechanism used to reimburse the University for the infrastructure support costs associated with sponsored research and other sponsored projects. The F&A rate is essentially an overhead rate. (Note: If prompted, click Subscribe to Group to gain access to this content.)
Understanding and navigating the different types of patent processes can be complex and time-consuming. ASU has teams committed to finding creative and profitable IP strategies, so you can stay focused on your innovative research.
ASU's Skysong Innovations provides an overview of Intellectual Property (IP), focusing on the types of IP encountered most often in research and sponsored projects. Discussion includes considerations when background IP will be involved, caution considerations for IP licenses, and licensing fees.
Process and resources for successful University research and sponsored agreement administration and contractual support to external sponsors, ASU faculty and staff. The Proposals and Negotiations Team and the Industry Agreements Group serve and provide support to different external parties.
An overview and tips for navigating cost share across the lifecycle, including the proposal, award receipt, award management, and closeout stages. This presentation defines cost sharing, identifies the types of cost sharing, explains how cost sharing can go wrong, and touches on best practices and real-life scenarios.
Find step-by-step, actionable guidance to help you find funding opportunities, plan your research, and submit a successful proposal to potential sponsors. Depending on what steps in the funding process you are in, and what help you may need, resources exist for:
Resources for Researchers
Sponsored Award Leader Responsibilities
Research Security
How to Get Research Funding