- Is the Award a Gift, Grant or Contract with Industry?
ISU and the ISU Foundation developed the following guidelines to assist faculty researchers in determining whether their award is a gift, grant or contract with an industry sponsor:
- Awards Requiring Negotiation
Many awards received by OSPA contain terms and conditions that do not conform to university policies, Regent policies and/or state law. These terms must be modified before the university can accept the award. If the award is with a corporation, the OSPA Industry Team (Industry-Contracts@iastate.edu) will conduct the negotiation with the sponsor. If the award is from a non-profit sponsor, or is a state or federal government award, the OSPA Awards Team (OSPA-Awards@iastate.edu) will negotiate the terms. OSPA strives for speedy negotiations but the timeliness of contract modification is also dependent on the amount of time sponsors require to review modifications and seek approvals for changes. A timeframe of several weeks is likely if contract issues are complex.
- Information Needed to Establish an Award Account - (in Word or Excel format, whenever possible)
- Original Award Notification document from the sponsor
- Fully routed and approved GoldSheet
- Copy of the submitted proposal and any sponsor-approved revisions
- Copy of the approved budget and budget detail
- Compliance committee protocol approval letters (as applicable)
- Pre-Award Costs and Advanced Accounts
If award documentation is delayed, procedures are available to obtain an advance account for a limited period of time. After the award information is verified by a representative of the sponsoring agency with the authority to commit funds, OSPA will review the advance account request and may authorize set up of an account. Many federal agencies allow pre-award costs up to 90 days prior to the start date of a grant. If pre-award costs are required, the above procedures for verification will be followed and pre-award costs may be approved. The Advanced Account Request Form can be found at http://ospa.iastate.edu/forms/. Notification of the advanced account number will come by email from the Office of Sponsored Programs Accounting (SPA).
- Subawards or Subcontracts
If your award involves subrecipients (subawardees or subcontractors), you should submit a Subcontract Request Form to email@example.com or to Industry-Contracts@iastate.edu if the prime award is with a corporation. The Subcontract Request Form can be downloaded from http://ospa.iastate.edu/forms/. OSPA will need a copy of the subrecipient's statement of work and budget (preferably in Word and Excel formats) if they were not previously submitted with your GoldSheet. Additional information may be required depending on the prime sponsor's requirements.
- Extensions of Time
If you are nearing the end date of your project and the work is not yet complete, you can seek an extension of the project period of performance. You or your department/center grant coordinator should prepare the No-Cost Extension Request Form found at http://ospa.iastate.edu/forms/ and email it to either firstname.lastname@example.org or to Industry-Contracts@iastate.edu if the award is from a corporation. You will need to provide a justification of why the extension is necessary. (Spending out the account is not a valid reason to extend a project.) OSPA will submit the request to the sponsor and update the end date if the extension is approved.
- Rebudgeting and Supplemental Funds Requests
Rebudgeting: If the original project budget does not reflect the current spending plan for the sponsored project, the PI should review the project award terms and conditions to determine if rebudgeting is allowable without sponsor approval. If sponsor approval is required for rebudgeting, submit your rebudget request to email@example.com or to Industry-Contracts@iastate.edu if the award is from a corporation on the Rebudget Request Form found at http://ospa.iastate.edu/forms/ with a justification of the proposed changes. OSPA will transmit approved budget revisions to the Office of Sponsored Programs Accounting (SPA) to update the account in the university's WebFM system.
Supplemental Funds Request: Requests for additional funding on an existing project are processed as proposals through OSPA. You will need to submit the following items: 1) GoldSheet; 2) budget; 3) statement of work for the additional effort; and 4) updated certification for all compliance issues if necessary.
- Changes in Project Scope and/or Project Effort
Changes in scope: Changes in the scope of a sponsored project must be approved by the sponsor. Changes of scope include anything that might redirect or refocus the sponsored project on topics or activities that were not included in the sponsor- approved statement of work. Please review your award for specific instructions related to reporting of changes in scope. You should forward your request for a change in scope to OSPA at firstname.lastname@example.org for submission to the sponsor.
Reductions in project effort: When a PI on a federally funded sponsored project wishes to make changes in work effort that result in a 25% or more decrease in effort for the PI or any key personnel on the project, the PI must notify OSPA of the reduction in effort so that the changes can be approved by the sponsor. Such modifications to effort are subject to the sponsor's approval before they can be implemented.
- Departure of PI for more than Three Months or a Change in PI
Departure of PI: If a PI must be absent from a federally funded project for three months or more, s/he must notify the federal agency, through OSPA, of the impending departure. The PI should notify OSPA via email@example.com and identify the reasons for the absence. If an interim PI is proposed, the interim's curriculum vitae should be provided so that it can be sent to the sponsor for review and approval.
Change of PI: If a change of principal investigator is required on a project, a change of PI request must be sent to the sponsor. The letter should be prepared requesting the change in PI by the PI and/or the PI's department and it should be endorsed by the current PI, the proposed PI, the department chair and OSPA. The letter should outline the qualifications of the new PI and include a copy of the new PI's curriculum vitae.
- Award Transfers
Faculty members occasionally transfer to new universities and they often request permission to transfer their sponsored projects. If a transfer is contemplated, please contact firstname.lastname@example.org with specific information related to the transfer (GoldSheet number, proposed date of transfer, any required sponsor forms, etc.). In order to relinquish the project, SPA must be able to determine the residual funds remaining after all obligations have cleared. It takes at least 60 days after the expiration date to obtain this information. Additional information on the transfer process available in Proposals/Pre-Award PI Transfer process as well as the OSPA Handbook..
- Post-Award Administrative changes to a project.
If you are replacing, adding, or removing a PI or Co-PI on an award, or changing the Lead Unit, RRC, RRC distribution, or a PI’s incentive and/or contribution, you will need to make changes to the approved GoldSheet. In some cases, you will also need to seek sponsor approval for these changes as well. These processes can be complex and involve many steps; please see the Post-Award changes to GoldSheet flowchart (PDF) for an overview of the entire process, and the Post-Award Administrative Changes to a Sponsored Project handout (PDF) for more detailed explanations on the processes. Please contact your OSPA/OIPTT Award Administrator if you have further questions.
- Progress Reports
It is important for the PI of any sponsored project to meet the requirements of the award, including provision of progress reports. Failure to submit progress and/or final reports places the university at risk for non-compliance with award requirements and/or breach of contract. Sponsors can and do disallow costs on awards with late progress reports. The university does not have a pool of funds to cover such liabilities and will look to the PI, the department and the college to cover any disallowances due to late progress reports.