Awards/Post-Award FAQ

If the award comes to OSPA or OIPTT, we will send the PI and administering department a copy of the agreement after we sign and/or set up the award.

PIs may receive the award directly from the sponsor. If this occurs, please forward the award to OSPA or OIPTT so that we can review and sign the award, as required, and have SPA set up the project’s account number. Please identify the GoldSheet, Proposal Development (PD) or Institutional Proposal (IP) number for the award when forwarding the award to OSPA or OIPTT. If a Proposal Development (PD) document was not routed for the award, a new PD must be routed prior to signature and set up of the award.

University rules require that OSPA /OIPTT accept sponsored project awards on behalf of the university.

Deliver or send the check to Sponsored Programs Accounting (SPA) for deposit.  Please include an account number, Proposal Development (PD) document or Institutional Proposal (IP) number along with the check.

If you have been notified by the sponsor that an award is imminent, let OSPA/OIPTT know. There is a process to set up an advanced account number for many types of awards so a PI can begin spending in advance of the receipt/signature of the award.  It is important to know the intended start date of the award so that spending does not occur prior to this date.

An advanced account number is an account number that can be set up in advance of receipt of the award.  Your department’s grant coordinator can provide assistance in making this request to OSPA/OIPTT.  The Advanced Account Request Form can be found on the Forms and Templates page.  Notification of the advanced account number will come by email from SPA.

When an award has been signed by both the sponsor and by OSPA/OIPTT, it is ready to receive an account number.  SPA will enter budget, invoicing, and financial reporting information into the university’s systems and will assign an account number for your award.  It usually takes a few days for an account number to be established after the award has been signed by both the sponsor and OSPA/OIPTT.  SPA will notify the PI and administering department of the account number by email.

The SPA accountant assigned to the award will prepare the invoices and/or financial reports required by the sponsor.  In unusual cases, the administering department or PI may be asked to assist with the preparation of the reports, especially if supporting documentation for expenditures is required or when the reporting requirements are extensive.  Additionally, sponsors sometimes require that the technical report is submitted along with the financial report or invoice.  The SPA accountant will coordinate submission of the financial report or invoice along with the technical report in those cases.

Grant coordinators and/or departmental administrative staff assist the PI with expenditure transactions associated with the project.

The PI should complete the Subrecipient Request Form found on the Forms and Templates page and submit it to ospa-awards@iastate.edu or industry-contracts@iastate.edu.  Copies of the applicable scope of work, budget and budget justification should also be submitted with the Subrecipient Request Form. 

The ISU PI is responsible for monitoring each subrecipient’s performance status of the agreed upon scope of work.  In addition, the PI is to review each subrecipient invoice for cost reasonableness relative to the status of work performed, including any required cost-sharing.  If the invoiced amount is acceptable, the PI document their approval.  The PI is also responsible for ensuring the subrecipient submits all deliverables and technical reports as required under the subrecipient agreement.

The PI should contact OSPA/OIPTT if the subrecipient is not performing adequately and describe the situation.  Depending on the seriousness of the problem, the ISU Office of University Counsel may assist in resolving the situation.

If the subrecipient’s requested extension of time is within the period of performance of ISU’s prime agreement, send a request to ospa-awards@iastate.edu or industry-contracts@iastate.edu.  No-cost extensions for subrecipients cannot be approved beyond ISU’s period of performance.  Before sending a request, please confirm in eData that the subrecipient has an unspent balance of funds.

Carryforward is generally addressed in both the prime agreement and the subrecipient agreement.  Some agreements allow automatic carryforward.  For those agreements that require prime and/or ISU approval, OSPA/OIPTT will provide the formal approval to the subrecipient after coordination with the ISU PI.

A Subrecipient Request Form is required irrespective of the form and nature of the prime agreement.  Federal contracting requirements are more prescriptive in terms of subrecipient documentation than other forms of prime agreements.  The PI may be required to provide a technical evaluation of certain proposed costs or an explanation of the selection basis for the subrecipient.

OSPA/OIPTT formally amends the subrecipient agreements to add additional funds.  If a subrecipient should receive additional continuation funding, the PI should contact ospa-awards@iastate.edu or industry-contracts@iastate.edu after ISU has received additional funding.  The PI should confirm the subrecipient’s funding allotment increase and desired extension of time.

OSPA/OIPTT can ask the sponsor to extend the period of performance.  The No-Cost Extension Request Form found at www.ospa.iastate.edu/forms should be completed and emailed to ospa-awards@iastate.edu or industry-contracts@iastate.edu.  The PI will need to provide a justification of why the extension of time is necessary. (Having unspent funds in the project account is not a valid reason to extend an award.)  OSPA/OIPTT will review and submit the request to the sponsor, if needed, and will update the end date for the award if the extension of time.0 is approved.

The award terms and conditions should be reviewed to determine if rebudgeting is required by the sponsor, and if it is required, the appropriate process for requesting changes to your award budget.  If sponsor approval is required, submit your rebudget request to ospa-awards@iastate.edu or industry-contracts@iastate.edu on the Rebudget Request Form found on the Forms and Templates page with a justification of the proposed changes.  OSPA/OIPTT will forward the request to the sponsor.  Upon receipt of sponsor approval, OSPA/OIPTT will transmit the approved budget revisions to SPA, and SPA will update the award’s budget in the university’s financial system.

No.  PIs are responsible for ISU retention of technical and progress reports.

Please review ISU’s equipment transfers and sales on policy on the Sponsored Programs Accounting webpage

In many cases the PI can transfer the award.  The PI should discuss the potential transfer with the department chair and if the chair approves of the transfer, contact OSPA/OIPTT.  OSPA/OIPTT will review sponsor requirements for transferring the award.  The PI will need to finalize all expenditures on the project if a transfer of the award is approved.  SPA should be contacted if the PI wishes to transfer any ISU equipment to the new institution.  OIPTT should be contacted if you anticipate transferring any proprietary data.

For more information on ISU’s equipment transfers and sales policy, please see the Sponsored Programs Accounting webpage.