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 the Office of Sponsored Programs Administration and the ISU Foundation.

    • Awards Requiring Negotiation

    Many awards received by OSPA/OIPTT 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/OIPTT 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 a New Grant Worktag
      • 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
    • Pre-Award Costs and Advanced Grant Worktag

    Certain federal agencies allow pre-award costs up to 90 days prior to the start date of an award. 

    To be approved pre-award spending must be necessary for the effective and economical conduct of the project and costs must be allowable and appropriate. Most contracts, including federal contracts, do not allow pre-award spending.  To initiate the pre-award spending request email ospa-awards@iastate.edu and provide a justification for spending prior to start date of award.  Prior approval should be received before incurring pre-award expenditures.

    If receipt of the award is delayed, procedures are available to obtain an advanced grant worktag in some cases.  Your department/college/center/institute administrative support staff can assist you in making this request to OSPA/OIPTT.  The Advanced Grant Worktag Request Form can be found at http://ospa.iastate.edu/forms/. Notification of the advanced grant worktag will come by Workday notification.

     

    • 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 or sponsor prior approval 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.  For federal awards, this should be requested at least 60 days before the end date. You or your department/college/center/institute administrative support staff should prepare 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 funding is not a valid reason to extend a project). OSPA or OIPTT will submit the request to the sponsor, if required, 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 the appropriate process for requesting changes to your award budget. If sponsor approval is required for rebudgeting, submit your rebudget request to ospa-awards@iastate.edu or to industry-contracts@iastate.edu on the Rebudget Request Form found at http://ospa.iastate.edu/forms/ with a justification for the proposed changes.  OSPA/ OIPTT will transmit approved budget revisions to the Sponsored Programs Accounting office (SPA) to update the budget in the university’s Workday 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/OIPTT at ospa-awards@iastate.edu or industry-contracts@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 submitted to and 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, OSPA must notify the federal agency 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, OSPA/OIPTT must send a change of PI request to the sponsor. A request letter should be prepared 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

    In certain instances an award can be transferred to another entity.  Discuss the potential transfer with your department chair and if s/he approves the transfer, contact OSPA/OIPTT by submitting the PI Departure Questionnaire form found at http://ospa.iastate.edu/forms/.  OSPA/OIPTT will review sponsor requirements for transferring the award.  You must finalize all expenditures on your ISU project prior to transferring the award.

    Additional information on the transfer process is available in Awards/Post-Award Departing 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 timely 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.  In some situations sponsors may refuse to approve proposals submitted by other investigators until overdue reports are submitted.