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Policies and Procedures

9.02 Grants and Gifts

Purpose 

The University of Northern Iowa is interested in efficient and effective management of external funding.  This policy delineates the roles of the UNI Office of Sponsored Programs (OSP) and the UNI Foundation (UNIF) in seeking and managing external funding and provides guidance for faculty and staff who are seeking or have acquired external funding in determining which is the appropriate office to assist them.

Policy 

The OSP and UNIF will utilize the criteria detailed in A. and B. below in determining which unit provides financial management and oversight for varying types of funding awards.  Based on the established criteria, faculty, staff and students who are seeking external funding should contact either OSP or UNIF to coordinate funding requests.  If an individual is uncertain about which office is the appropriate point of contact for their external funding request, then the individual should contact OSP for clarification. When it is not readily apparent whether a particular request should be submitted through OSP or UNIF, the Assistant Provost for Sponsored Programs and the President of UNIF will discuss the request and determine which organization should submit and administer the request.

  1. UNIF requests from individuals, foundations and corporations gifts or grants that meet the following criteria: 
    1. Non-governmental funding that provides support for professorships, endowed chairs, scholarships, building projects, fellowships, research and instructional programs unless:
      1. The sponsor, other than a private foundation, requires return of unexpended funds or written approval to spend beyond the designated project period.             
      2. The award contains restrictive provisions for intellectual property rights.
      3. The award restricts or monitors publications or use of results.
      4. The award makes restrictions on the disposition of tangible property.
      5. The award requires indemnification of the sponsor.
      6. The award comes in the form of a contract or cooperative agreement.
      7. The award provides any support for research involving human subjects, vertebrate animals; export controls; radioactive materials; recombinant DNA; human body   substances; or infectious agents.
      8. The sponsor allows facilities and administrative costs, otherwise known as indirect costs, to be assigned.
    2. Funds awarded by a donor who requires the recipient to be a 501(c)3 organization.  See D.1. below for procedures on administering such funds.
  2. OSP requests, receives and administers the following types of funds:
    1. Funding from international, federal, state, or local government agencies or funding that flows from or through one of these agencies.
    2. Funding from industry, industry associations or commodity associations awarded for performing specified research projects.
    3. Awards from non-government sponsors that include one or more of the provisions listed in A. 1 a-h above.
  3. Exceptions to the guidelines listed above may be made as agreed upon by the Assistant Provost for Sponsored Programs and the President of UNIF.
  4. Receipt of funds usually administered by the other unit
    1. When a request that normally would be made through OSP is to be submitted to a donor who requires the recipient to be a 501(c)3 organization, the project request will be reviewed by both  OSP and UNIF before submission by UNIF.  The project budget will include UNI indirect costs, if possible, but not the UNIF gift fee.  If the request is funded, the entire amount received will be transferred from UNIF to UNI for administration by OSP.  UNIF will review the project’s final narrative and financial reports before they are submitted to the sponsor.
    2. When OSP or any UNI unit receives funds of a type normally or ordinarily received by UNIF, the entire amount will be transferred to UNIF according to procedures developed by the University and the Foundation.  UNIF will apply the appropriate gift fee to the gift. 

Related Policies

9.01 – Grants and Contracts

13.05 – Processing Gifts

Office of Sponsored Programs, approved May 10, 2012

Special Assistant to the President for Development and Alumni Relations, approved May 10, 2012

President’s Cabinet, approved August 6, 2012