5.2 Processing Applications for Gifts, Grants, and Contracts for Which Applications Are Required

(Amended 2/11; 5/12)
  1. Preparing applications. Most funding agencies have specific requirements and/or forms for the application process. The Division of Sponsored Programs in the Office of the Vice President for Research is specifically designated as a University resource available to assist faculty and staff with instructions on preparing the proposal application, processing the proposal, and complying with grant submission deadlines. The staff in this office is available to answer questions that may arise with respect to budget format, current University facilities and administrative costs, fringe benefits, cost-sharing requirements, and compliance issues.
  2. Preparing the University of Iowa Proposal Routing Form. Each grant and contract proposal for external support should be attached to a proposal routing form and routed through appropriate administrative offices for review and approval, as described at https://dsp.research.uiowa.edu/ui-routing-policy-procedure. Frequent questions for consideration might include:
    1. Does the project fit within the overall educational, research, or service objectives of the department and/or college?
    2. Will the proposed project interfere with the current effort(s) of those involved in the proposal?
    3. Is there adequate space and/or sufficient equipment available to support the proposed activities?
    4. Will human subjects or vertebrate animals be involved in the proposed research?
    5. Are there federal guidelines that must be adhered to as in the case of recombinant DNA, human pathogens, blood-borne pathogens, chemical hazards, or any other safety or health hazard?
    6. Is there a requirement for matching funds, and/or a commitment to other forms of University cost-sharing, and, if so, will these funds and/or other forms of cost-sharing be available at the collegiate or departmental level?
    7. Is there the potential for a conflict of interest with any of the participants should the proposal be funded?
    8. Are there conditions that could subject the proposed project to federal export control regulations?
  3. The Division of Sponsored Programs:
    1. forwards requests for University matching funds not available at the departmental or collegiate level to the Vice President for Research and/or the Executive Vice President and Provost for review. Such requests might include funds for research assistants or matching funds for equipment. Requests that might involve renovation costs are forwarded to the University Chief Financial Officer and Treasurer;
    2. forwards proposals requesting new tenure track faculty or a new curriculum program to the Executive Vice President and Provost for approval;
    3. authorizes the submission of the proposal on behalf of the University; and
    4. maintains information about the proposal in a computerized tracking system and provides a monthly report of proposals submitted and awards received to various offices on campus and to the Board of Regents.
  4. Review, negotiation, and acceptance of grants and contracts. When notification of award of a grant or contract is received, the Division of Sponsored Programs reviews and negotiates the final terms and conditions of the award with the sponsor and the project director. When the negotiation is complete, those documents that require formal University acceptance will receive the appropriate signature and will then be forwarded to the sponsor for final signature. When all documents are finalized, an Award Authorization Activation Notice is issued by the Division of Sponsored Programs which authorizes the opening of an account by the Grant Accounting Office and also notifies departmental and collegiate officers of the award and its stipulations.