award flowchart Accepting an AwardAn award or contract intended to support research or other sponsored projects must be reviewed and approved by the Office of Research and Sponsored Projects before it is accepted. Before ORSP can process an award document or contract, we must have a signed PIAF, a statement of the scope of work (usually represented by the proposal narrative) and a budget for the amount indicated in the award or contract. Once the award is accepted, Portland State University is contractually bound to deliver whatever is documented in the award. After ORSP accepts an award, information about it is forwarded to Research Accounting where an account is set up and a research accountant assigned. UNDER NO CONDITIONS should a Principal Investigator or research staff sign a contract or a letter accepting an award. This must be done by an "institutional representative" from ORSP. At this point in the lifecycle of the project, research accounting is not involved. As soon as the award is accepted, contract signed or Organizational Prior Approval System (OPAS) form processed, research accounting receives information about the award and opens an index. Roles and ResponsibilitiesResearch and Sponsored Projects
Principal Investigators
Types of AwardsGrants and Cooperative Agreement Grants and cooperative agreements are awards that come directly from a sponsoring agency, usually a unit of the federal government, to Portland State as the prime recipient. A notice of award is issued to Portland State as the result of a successful proposal and proposal budget that was submitted at an earlier date. The notice of award may be sent directly to ORSP either electronically or by mail. If the PI receives a notice of award, it should be forwarded to ORSP immediately. Subaward or Subcontract (to Portland State) Funds for research can also be transferred by a subaward document to Portland State from another University that is the prime recipient of the grant. In this case Portland State is called the secondary recipient. Faculty from Portland State will have been involved in preparing the grant proposal with the prime recipient and this proposal will have included a scope of work for Portland State as well as a subaward budget. A PIAF approving this scope of work and subaward budget will have been processed during the proposal development. PSU can also issue subawards or subcontracts to other universities (going out of PSU). For more information, see Contracts and Subcontracts. Contract A contract is a mechanism for transferring resources to Portland State from businesses, industries, private agencies, and other entities. A contract will incorporate a scope of work and a project budget developed by the principal investigator. A contract will also have terms and conditions that must be reviewed by the contract specialists within ORSP. Sometimes these terms and conditions must be rewritten so that they are in compliance with federal and state laws and Portland State policies. Only a contract specialist from ORSP is empowered to sign a contract that binds Portland State into agreement regarding research. Interagency/Intergovernmental Agreements Interagency/Intergovernmental agreements are documents used to transfer research funds between governmental units. Funds paid to Portland State for research related to the work of various Oregon state entities are typically transferred via interagency agreement, or by intergovernmental agreement in the case of county entities. Because these agreements are between two units within the state structure, they are typically quicker to negotiate than a contract. Transferring GrantsEach sponsor has a different approach to transferring grants. In most cases it will involve notifying the sponsor either through an electronic system or by filing grant transfer application forms. The University giving up the grant will have to file a final financial report and a release of unobligated funds. The University receiving the grant will have to agree to accept it. If you are bringing a grant into Portland State or taking one with you when you leave, please contract ORSP at least 90 days in advance for a smooth transition. Processing of Internal AwardsFaculty may compete for funding available from sources within PSU. The two most common are Faculty Enhancement Awards and Professional Travel Awards. These awards are managed by ORSP only. When you receive your award, you will also receive an index number. This number should be used for charges to these awards. Questions about either of these type of awards should be directed to Diane Mikkelson at 5-5258. Research accounting is not involved with processing these internal awards. The Oregon Transportation Research and Education Consortium (OTREC) issues annual Requests for Proposals for transportation-related research, education, and technology transfer proposals. Funding is expected for the 2007-08 fiscal year. Contact Rob Bertini, Director, for more information at bertini@pdx.edu. The Nanometrology and Nanoelectronics Initiative (NNI), which is part of the Oregon Nanoscience and Microtechnologies Institute (ONAMI), has had two rounds of research funding. NNI is conducting research to increase the ability to image and measure materials, devices, and interfaces at the nanoscale. Funding beyond FY 2008 is uncertain. John Carruthers is leading this effort, and can be contacted by email at carruthe@pdx.edu. Sometimes Portland State Centers or Institutes will award grants to individual faculty to support their work (e.g. OTREC). These awards are processed by the Center or Institute and questions should be directed to them. Types of Awards not processed by ORSP or Research AccountingGift A gift is defined as a contribution with no reciprocal benefit to the donor. In general, the following characteristics describe a gift:
Funds identified as gifts are processed through the Portland State University Foundation which charges an administrative fee. The gift recipient must complete a PIAF for funds received as a gift for the support of research so that Portland State can maintain an accurate accounting of monies received for sponsored research. Departmental Sponsored Project Account If an award or contract is received that is under $25,000, the researcher has the option of managing this through a departmental sponsored project account. This is an account that is set up and managed by departmental staff. A 12% administrative fee is charged. Funds placed in departmental sponsored project accounts may not be from the federal government or be federal pass-through resources. Projects managed in this way may not involve planned or potential intellectual property. For more details, read the policy on departmental sponsored project accounts. If the source of funds is a government agency, the dollars may NOT be treated as a gift or a departmental account. Government funding is always processed through ORSP and Research Accounting. Project expenses before an award is received or contract signed
In some cases, the principal investigator knows he or she will be receiving an award before the formal award document arrives or before the contract is signed. Because both of these documents may be finalized AFTER the beginning date of the award, the Principal Investigator can request permission to spend funds during the waiting time. This is done by completing an OPAS form (Organizational Prior Approval System). The OPAS must be signed by the Department Chair and Dean who secure the prior approval with departmental funds. This means that if the award doesn't come or the contract is not completed, the department will have to pay for anything that is spent. The OPAS must be accompanied by evidence that the funds are coming. This evidence might be an e-mail from an agency executive, draft contract or notice of award to another University who intends to subcontract with PSU. In other cases, research costs need to be incurred before the start date of the award. Each sponsor has a different policy regarding "pre-award costs" and these policies will be contained in the terms and conditions of the award or contract. The PI should check these policies carefully before requesting permission to incur pre-award costs. Request are made by submitting an OPAS. Frequently Asked QuestionsDo I need to send you a copy of the Notice of Award or the draft contract if I know ORSP was sent a copy? |
