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Operations Manual The University of Iowa

PART V. ADMINISTRATIVE, FINANCIAL, AND FACILITIES POLICIES

CHAPTER 5: POLICY AND PROCEDURES ON GIFTS, GRANTS, AND CONTRACTS

(Business Office 3/8/65, Vice President for Research and University Business Office 3/11/91; amended 9/93; 12/96; 12/06; 1/08; 1/09; 3/10; 10/10; 2/11; 5/12; 4/13)

Note: Effective April 2013, this policy has been revised. For the most current version without redlining, return to V-5.

5.1 General
5.2 Processing Applications for Gifts, Grants, and Contracts for Which Applications Are Required
5.3 Project Management Responsibilities
5.4 Transfer of Grant/Change of Project Director
5.5 Facilities and Administrative Costs
5.6 Gifts and Grants
5.7 External Funding for Alteration of an Existing Structure or New Construction
5.8 Other Policies Governing Externally Sponsored Activities

5.1 GENERAL.
(Amended 4/13)

The policies and procedures contained in V-5.2 through V-5.4 provide an informational outline of the faculty/staff process of the application for obtaining and managing the management of external funding received in the form of gifts, grants, and contracts by in support of their faculty and staff who conduct educational, research, and service activities.

Gifts, grants, and contracts are divided into two groups for the purpose of this section. The first is the formal process in which the sponsor requires the applicant to submit a written application. The second is a more informal process such as a written letter or telephone call to solicit funding, or, in some cases, funds may be received without any prior contact with the funding organization or individual.
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5.2 PROCESSING APPLICATIONS FOR GIFTS, GRANTS, AND CONTRACTS FOR WHICH APPLICATIONS ARE REQUIRED.
(Amended 2/11; 5/12)

5.3 PROJECT MANAGEMENT RESPONSIBILITIES.
(Amended 1/09)

5.4 TRANSFER OF GRANT/CHANGE OF PROJECT DIRECTOR.
(Amended 3/10)

5.5 FACILITIES AND ADMINISTRATIVE COSTS.
Facilities and administrative (F&A) costs, formerly known as indirect costs, are real costs to the University that cannot be directly identified with and charged to a specific project. F&A costs include the costs of operating and maintaining buildings and grounds, equipment, and libraries, as well as administrative costs at the institutional, collegiate, and departmental levels. Since it is not practical to identify the F&A costs applicable to each specific project, these costs are grouped into pools and distributed to those activities of the University such as instruction and research in accordance with the requirements specified in the federal Office of Management and Budget Circular A-21, "Cost Principles for Educational Institutions." The end product of this cost distribution process is an F&A rate or series of F&A rates approved by the federal government as the basis for determining the amount of F&A costs chargeable to individual grant and contract awards. These costs are generally charged to all external grants and contracts unless the sponsor's written policy prohibits or limits such reimbursement. Additional information regarding charging F&A costs to grants and contracts is available at dsp.research.uiowa.edu/facilities-administrative-fa-costs.
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5.6 GIFTS AND GRANTS.
(Amended 3/10; 10/10; 4/13)

For additional information on external funding procedures, please see the Guidelines for Defining, Requesting, and Receiving Gifts and Sponsored Project Funding available through the Division of Sponsored Programs web site at dsp.research.uiowa.edu/new-guidelines-distinguishing-gifts-and-sponsored-project-funding.
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5.7 EXTERNAL FUNDING FOR ALTERATION OF AN EXISTING STRUCTURE OR NEW CONSTRUCTION.
(Amended 3/10)

Applications seeking external funding for this purpose are generally developed in conjunction with the Office of the Senior Vice President for Finance and Operations. Prior to developing the application, the Campus Planning Committee makes a recommendation to the President about the project and its location. With these approvals, all plans, compliance statements, and cost estimates must secure the approval of the Board of Regents prior to submission.
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5.8 OTHER POLICIES GOVERNING EXTERNALLY SPONSORED ACTIVITIES.
(Amended 3/10; 10/10)

For additional internal and external policies and procedures governing externally sponsored activities, see the following web sites:

Division of Sponsored Programs policies and procedures: dsp.research.uiowa.edu/policies-and-procedures

Grant Accounting Office policies and procedures: www.uiowa.edu/~fusga/policiesproced.html

Office of the Vice President for Research policies and compliance: research.uiowa.edu/policies-and-compliance

Research Administration Handbook: dsp.research.uiowa.edu/rah/research-administration-handbook

Researcher Handbook: researcherhandbook.research.uiowa.edu

University of Iowa Research Foundation: research.uiowa.edu/uirf

Additional information may be obtained through the Division of Sponsored Programs (100 Gilmore Hall) and the Grant Accounting Office (B5 Jessup Hall).

(See also V-1.2)
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Page last updated June 2013 by Office of the Senior Vice President for Finance and Operations