Awards/Post-Award Information

  • Is the Award a Gift or Sponsored Project?

ISU and the ISU Foundation developed the following guidelines to assist campus staff in determining whether an award is a gift or sponsored project.  See Guidelines for Processing of Gifts and Sponsored Projects Funding under Policies.

Questions about whether a particular situation is a gift or sponsored project can be directed to OSPA at grants@iastate.edu or to the ISU Foundation at cfr@foundation.iastate.edu. If the information above does not provide the needed guidance, final decisions will be made jointly by Wolfgang Kliemann in the Office of the Vice President for Research and Lisa Eslinger at the Foundation.

  • 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 an industry or commodity sponsor, OIPTT-Industry Contacts (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 negotiation is also dependent on the amount of time sponsors require to review and seek approvals for changes. A timeframe of several weeks is likely if contract issues are complex.

  • Information Needed to Establish an Award Account
    • 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 advanced account. After award documentation is received indicating funding is forthcoming, OSPA will review the advanced 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. Most contracts, including federal contracts, do not allow pre-award spending. 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 Sponsored Programs Accounting office (SPA).

  • Subawards or Subcontracts

If your award involves subrecipients (subawardees or subcontractors), you should submit a Subrecipient Request Form to ospa-awards@iastate.edu or to Industry-Contracts@iastate.edu if the prime award is with an industry or commodity group. The Subrecipient Request Form can be downloaded from http://ospa.iastate.edu/forms/. You will need to submit 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 period of performance. You or your department/center grant coordinator should complete the No-Cost Extension Request web form found at http://ospa.iastate.edu/forms. 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 or OIPTT will submit the request to the sponsor and notify the PI when approval has been received.

  • 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 ospa-awards@iastate.edu or to Industry-Contracts@iastate.edu if the award is from an industry or commodity group. The Rebudget Request Form found at http://ospa.iastate.edu/forms/ must include a justification for the proposed changes. OSPA or OIPTT will transmit approved budget revisions to the Sponsored Programs Accounting office (SPA) to update the account in the university's financial 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) budget justification; 4) statement of work for the additional effort; and 5) 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 changes in scope. You should forward your request for a change in scope to OSPA at ospa-awards@iastate.edu 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 a request can be approved by the sponsor. Such modifications to effort are subject to the sponsor's approval before they can be implemented.

  • Disengagement of PI for more than Three Months or a Change in PI

Disengagement 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 disengagement. The PI should notify OSPA via ospa-awards@iastate.edu 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 and the department chair and sent to ospa-awards@iastate.edu or to Industry-Contracts@iastate.edu if the award is from an industry or a commodity group. 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 ospa-awards@iastate.edu with specific information related to the transfer (GoldSheet number, proposed date of transfer, any required sponsor forms, etc.). In order to relinquish the project, the Sponsored Programs Accounting office (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 handout (PDF) 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 Actions 101 handout (PDF) for more detailed explanations on these 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 submission 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.