Industry Award Guidance

Agreements:  Who signs?  See:  Signature Delegation Matrix

The University’s Office of Post-Award Management (OPAM) opam@umass.edu (413) 545-0698 and the University of Massachusetts Innovation Institute (UMII) umii@umass.edu (413) 577-8644 work in concert to provide service to the university research community working with Industry.

  1. Direct Industry Funding (no federal, state or municipal funding) –
    1. Proposals: Contact UMII when you begin having initial discussions with a company.
      1. Kuali Record routed for proposal to the company
  2. Grants/Contracts:
    1. UMII* negotiates with input from legal counsel, Research Compliance, TTO, OPAM Offices
    2. UMII signs
    3. UMII handles post award setup process, including system upload (Kuali)
    4. Controller’s Office sets up account/assigns account # (SpeedType and PG)
  3. Direct Industry funding via Unrestricted Grants  -- Unrestricted grants carry an indirect cost rate of 10% TDC for any award $1000 or more. The F&A is assessed in all cases. In order to be classified as an unrestricted grant, the faculty members must be free to use the funds in any way that benefits the university by supporting their general research interests. They differ from regular grants and contracts in that there can be no formal requirements by the sponsor for financial or technical reports and the sponsor has no claim whatsoever to any intellectual property rights that may result from projects supported by unrestricted grants. Because of the unrestricted nature of the project, it is anticipated that there is no attributed level of effort on behalf of the PI. If the PI feels that a level of effort is required, the PI must report that level of effort to OPAM and the award letter must provide the sponsors acknowledgement and approval that the PI use this money for appropriate salary per university guidelines.
    1. Unrestricted grants are remitted to the Controller’s Office by OPAM when the university receives payment (typically a check, occasionally a wire transfer) as a cash account. A Kuali Record is required for account set up.
    2. Route Kuali Record with attachments.
      1. For All:  A note indicating either that the check is being sent to OPAM under separate cover or that sponsor will pay by wire transfer.
      2. Any proposal and/or correspondence that resulted in the grant as well as any guidelines. NOTE: In most cases unrestricted grants are not proposed nor have any guidelines.
  4. Industry Funding that is Federal Prime (including SBIR/STTR*):
    1. Proposal:
      1. Proposal submitted via OPAS in accordance with prime federal funding source guidelines and in accordance with Industry prime recipient due date.
    2. Award:
      1. OPAM  negotiates with input from legal counsel, Research Compliance, TTO, UMII Offices
      2. OPAM  signs
      3. OPAM handles post award setup process, including system upload (Kuali)
      4. Controller’s Office sets up account/assigns account # (SpeedType and PG)
    3. *SBIR/STTR -- see sponsor specific guidance for SBIR/STTR
  5. Industry-related Foundation funding:
    1. Proposals:
      1. Proposal submitted via OPAS in accordance with funding source guidelines and in accordance with due date.
      2. Kuali Record
    2. Awards:
      1. UMII* negotiates with input from legal counsel, Research Compliance, TTO, OPAM Offices
      2. UMII signs (*UMII-designee in OPAM may negotiate and sign).
      3. OPAM handles post award setup process, including system upload (Kuali)
      4. Controller’s Office sets up account/assigns account # (SpeedType and PG)

Industry Account Management

Reporting

Terms and conditions of the grant or contract will address any reporting required. The PI is responsible for technical reporting in accordance with the terms of the agreement. For Financial Reporting (including invoicing): The Controller’s Office submits all invoices and financial reporting on behalf of the university, in accordance with the terms of the Agreement.

No Cost Extension

If no federal or state funding involved, contact the Grant Accountant in the Controller’s Office for guidance. If prime federal- or state-funded, a written request to the sponsor may be necessary. Contact the Grant Accountant in the Controller’s Office or the Grant and Contract Administrator in OPAM for guidance.

Budget Revisions

May need Sponsor approval if the budget was incorporated into the grant/contract. Contact Grant Accountant for guidance.       

Sponsor prior approval actions/requests.

The following actions may need Sponsor approval. Contact UMII for guidance:

  • PI Transfer
  • Change PI or Add/Change Co-PI – or withdrawal of PI/Co-PI
  • Significant change in level of effort for PI or Co-PI
  • Addition of a Subcontract
  • Change in Objectives or Scope