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Division of Research & Innovation

Sponsored Program Administration

Award Management

  • Overview

    Award management includes all post-award activities that occur between the time an award/account is established in Wayne State's financial system and when the closeout process begins for sponsored program accounts. All SPA groups are involved in the management of your award. Visit the SPA Directory page for specific information about each SPA group and their contact information.

    Please contact your SPA Grant & Contract Officer if you receive a request for information from an agency or an auditor.

  • Requests for Agency Prior Approvals

    Prior approval requirements vary by agency. It is recommended to contact your SPA GCO for specific questions about prior approvals and for submission of the requests.

    Prior approval requests that are not submitted via an online agency system need to be initiated at the SPA level with written communication to the agency Contracting Officer (not Program Officer) signed by the PI. The memo must include the information recommended below. The PI and Department Administrator will be notified when a reply is received from the agency.

    No-Cost Extension

    For no-cost extensions, the following information should be included in the request, which needs to be signed by the PI.

    The agreement number; the extended agreement end date; a technical justification as to why the extension is needed; a brief description of what will be done during the extension period; a comment regarding any revision to the scope of work, if applicable.

    PI Change Request

    The communication from the PI and SPA needs to include the effective date of the change, the new PI's curriculum vitae, and comment if the scope of work is being revised.

    Revised Budget Request

    The award agreement will specify the restrictions for budget revisions. The signed memo from the PI needs to include why the budget revision is necessary for the project, if the scope of work is being revised, along with the revised budget.

    • If effort is reduced more than 25% during this time you will need to seek agency approval of the reduced effort on the project.
    • If the request is being submitted after the end date, then you will need to provide an explanation as to why the request is being submitted late.

    Agency Specific Guides

    Summarize when prior agency approval is necessary for National Institute of Health (NIH) and National Science Foundation (NSF) grants

  • Cost Policy
    • Expenditures on externally funded awards must comply with the more restrictive of policies  
      • ​Award specific terms and conditions
        • Applies only to a specific award
      • Agency terms and conditions
        • Applies to all awards funded by a particular sponsor: NIH, NSF, DOE, etc.
      • Federal Government requirements
        • Applies to all federally funded awards
        • The Uniform Guidance (UG) from the Office of Management and Budget (OMB) found at 2 CFR Chapter 1, part 200 
      • Wayne State University Policies
        • Wayne State University Code Annotated (WSUCA)
        • University Policies
        • Administrative Policies and Procedures Manual (APPM)
    • In instances of discrepancy between the general provisions and the project terms and conditions of an award, the award provisions should govern. When WSU policy and agency policy differ, the more restrictive policy applies.

    Basic Cost Principles

    Expenses incurred on sponsored program accounts must be allowable, reasonable, allocable, and consistently treated between a direct cost and something normally treated as an indirect or an F&A cost. In addition, sufficient documentation must be available (attached to transaction, maintained in department, etc.) to demonstrate that the following basic cost principles are met.

    Needed, Received, and Used

    Auditors focus on expenditures that are incurred close to a project's end date (i.e. is it truly necessary for the project or just using unspent funds). As a result, purchases need to meet a "needed, received and used" principle. Allowable expenditures during the last 3 months of a project period need to affirmatively answer the following questions.

    • Is the item(s) needed to complete the project objectives?
    • Was it received by the project end date?
    • Was it used in support of the project by the project end date?

    For example, the Principal Investigator (PI) wants to buy a piece of equipment three months before the end of a project. In addition to meeting the basic considerations of federal cost principles (allowable, reasonable, allocable, and consistently treated), the equipment purchase must also be in accordance with the "needed, received and used" criteria, meaning it is needed to complete the scope of work and will be received and used by project personnel prior to the end date.

    Exceptions to the "needed, received and used" principle are publications costs (within the 90 or 120 close-out period) and unique items with specific agency approval.

    • Allowable: The cost must comply with the policies and procedures of WSU, as well as the specific project terms and conditions of the agreement, and be adequately documented; 2 CFR 200.403
    • Reasonable: The cost does not exceed that which would be incurred by a prudent person; 2 CFR 200.404
    • Allocable: The cost must be allocated to the project(s) in accordance with the benefits received; 2 CFR 200.405
    • Consistently Treated: The cost must be accorded consistent treatment; i.e., an expense may not be charged to a federal award as a direct cost if any other cost incurred for the same purpose in like circumstances has been allocated to the award as an indirect cost; 2 CFR 200.403
  • Allowable or Unallowable Costs

    • Expense categories listed below are provided for reference purposes and are not all inclusive.

      The following categories provide guidance on when the expense may or may not be allowable on a state or federally funded project, as well as documentation that may be necessary to support the cost.

      Costs that are typically unallowable may only be charged to your project account when specifically approved by the awarding agency in the award budget or correspondence from the grants officer.

      Advertising and Public Relations

      Cost Allowable Unallowable
      Advertising and public relations costs incurred solely for project purposes X  
      Gifts, souvenirs and costs to promote WSU   X
      Gifts based on custom or given as a thank you   X

      Additional Information:

      Examples of advertising and public relations expenses that are typically allowable include:

      • Project personnel recruitment
      • Program outreach
      • Required communication/press releases
      • Advertising for disposal of project materials

      References

      Alcoholic Beverages

      Cost Allowable Unallowable
      Alcoholic Beverages   X

      References

      Alumni Activities and Contributions

      Cost Allowable Unallowable
      Alumni Activities   X
      Contributions/Donations   X

      References

      Capital Expenditures

      Cost Allowable Unallowable
      Building construction and/or land acquisition (unless it is the purpose of the award)   X

      References

      Entertainment

      Cost Allowable Unallowable
      Entertainment costs including but not limited to amusement, diversion and social activities   X

      Additional Information

      Exceptions must be listed in the approved budget.

      References

      Equipment

      Cost Allowable Unallowable
      Special purpose equipment used for project activities that has been approved by the agency or was included in the approved budget. X  
      General purpose equipment, buildings, land, or improvements to those items that materially increase the value.   X
      The capitalization of WSU labor costs used to fabricate equipment.   X

      Additional Information

      • The cost of special purpose equipment should be charged to projects in proportion to its anticipated use and should be coded with appropriate equipment object codes.
      • In order to avoid duplicate purchases, the Principal Investigator (PI) must provide the following certification. "I certify that this equipment is necessary and will be used for the project charged or in relative proportion to the projects to which the costs will be charged and that similar equipment is not available for use."
      • Must be attached to Requisition or Purchase Order
      • Labor costs used to fabricate equipment are considered a salary or contractual service cost and will be subject to the appropriate F&A.

      References

      Fines and Penalties

      Cost Allowable Unallowable
      Fines and penalties including late fees on invoices, special handling fees (rush payment fees, etc.)   X

      References

      Deficits on Other Awards or Contracts

      Cost Allowable Unallowable
      Deficits on other awards including moving expenses from one account to another account due to lack of funds, or because grantor did not pay, etc.   X

      References

      Maintenance/Repair Costs

      Cost Allowable Unallowable
      Maintenance/repair costs of necessary and specific project items X  
      Charges for general department or lab maintenance and repairs   X

      References

      Entertainment Expenses/Meals

      Cost Allowable Unallowable
      WSU employee meals when travelling X  
      Meals as part of a project conference X  
      Meals for potential project personnel - recruiting X  
      Meals for Non- WSU, non-federal visitors or collaborators X  
      Meals for WSU employee participating in recruitment of non-WSU personnel X  
      WSU personnel meals when not travelling, except as identified below in additional information.   X
      Meal costs for WSU personnel participation in "working" meals   X
      Meals for meetings in which technical information is shared between WSU project personnel only (i.e. lab/staff meetings)   X

      Additional Information

      As indicated in the chart above, often meal expenses are considered unallowable. If meal expenses are submitted, they will be reviewed for allowability on a case-by-case basis, considering some or all of the following factors:
      • Business purpose
      • Length of event/meeting
      • Location of event/meeting
      • Participation of non-WSU employees
      • Necessity of the expense
      • Agency approved budget
      • Agency or award specific guidelines
      Required documentation with meal transactions include: agenda, list of participants and business purpose.

      References

      Meetings/Conferences

      A conference is defined as a meeting, retreat, seminar, symposium, workshop or event whose primary purpose is the dissemination of technical information beyond WSU personnel.

      Cost Allowable Unallowable
      Meeting and conference costs when reasonable and necessary to a project (typically included in approved budget) X  
      Costs associated with meetings and conferences attended by only WSU personnel (not travelling)   X

      Additional Information

      Costs typically associated with a conference/meeting include: facility rental, A/V equipment costs, conference attendee lodging and meals, printing costs. Factors that affect the allowability of a conference/meeting include: business purpose and length and location of event
      • Required documentation with conference transactions include: agenda, list of participants and business purpose
      • A best practice procedure to document reasonable conference costs is having sign-in sheets for all conference attendees.

      References

      Membership, Subscription, and Professional Costs

      Cost Allowable Unallowable
      Membership, subscription, and professional activity costs when they directly benefit the sponsored program X  
      WSU's membership in business , technical, and professional organizations X  
      Individual memberships that are in accordance with WSU's Administrative Policies and Procedures Manual (APPM) X  

      References

      Participant Support Costs

      Participant Support Costs are costs for participants or trainees (but not employees) in connection with conferences, workshops, or training projects and may include stipends, subsistence allowances, travel costs and registration fees.

      Cost Allowable Unallowable
      Participant support costs that have prior agency approval X  
      Costs related to WSU personnel   X

      Additional Information

      • Participant support costs must be separately identified in the agency approved budget
      • This is a restricted budget category, any budget deviations out of this category requires agency approval.
      • Exempt from F&A for all federal awarding agencies.

      References

      Personal Use Good or Services

      Cost Allowable Unallowable
      Items used by WSU employees that are project-specific X  
      Personal use of goods and services   X

      Additional Information

      • Examples of good and services that are the responsibility of the employee are GPS used to find a hotel, toiletries, and clothing.
      • Examples of items used by employees that are project specific are bug spray in Africa, waders for work in streams, and medical shots required for international travel.

      References

      Pre-Award Costs

      Cost Allowable Unallowable
      Expenses incurred prior to project start date   X

      Additional Information

      • Many federal agencies, such as NSF and NIH allow for 90-day pre-award spending on grants without prior approval.

      References

      Professional Services

      Cost Allowable Unallowable
      Professional services when costs are reasonable and necessary to project objectives X  
      Speaker fees X  
      Honoraria   X
      Lump sum payments without a rate justification   X

      References

      Salaries and Wages

      Cost Allowable Unallowable
      Faculty, technical staff and student pay at Institutional Base Salary (IBS) rates X  
      Administrative or clerical salary that is integral to the project or activity, includes individuals who can be specifically identified with the project or activity, are explicitly included in the budget or have prior written approval of the awarding agency, and the costs are not also recovered as indirect cost X  
      Non faculty overtime in compliance with employee contracts and when related to project activities X  
      Lump sum payments without a rate justification   X
      Faculty overload   X
      General administrative and clerical salaries   X

      Additional Information

      • Faculty administrative increment(s) are included in IBS, but Health Care Service Component (HSRC) and Outside Work for Pay are not included in IBS. Administrative or clerical may be allowable when all the following criteria are met:
        • Administrative or clerical services are integral to a project or activity;
        • Individuals involved can be specifically identified with the project or activity;
        • Such costs are explicitly included in the budget or have the prior written approval of the Federal awarding agency;
          • Administrative/clerical salaries on awards received prior to Dec. 26, 2014, will need to be justified, but will not require agency approval until a modification is received.
        • The costs are not also recovered as indirect costs.
      • Lump sum payments are discouraged because many agencies expect documentation to justify rates as the rate justification is a factor in determining the reasonableness of a cost.
      • Faculty overload is generally unallowable because intra-institution consulting is assumed to be a part of faculty duties. Prior agency approval is necessary and may be granted when Faculty overload is paid across departmental lines and is in addition to regular responsibilities.
      • Salary/payroll costs should be supported by completed time sheets (students/hourly pay) or Effort Report as appropriate.

      References

      Scholarships/Fellowships

      A scholarship or fellowship is typically paid as a stipend to the individual or as tuition payments and are made to encourage course/degree completion.

      Cost Allowable Unallowable
      Agency approved scholarships/fellowships paid on a sponsored program whose purpose is to provide training X  
      Scholarships/fellowships used as a mechanism to pay for services   X

      Additional Information

      • Due to the nature of this type of expense, it is rarely allowed on research projects as the payments are not made in exchange for services, i.e. as an employee.
      • Employee benefit packages may include a component for tuition or course reimbursement and are allowable as a fringe benefit.

      References

      Sponsorships

      A sponsorship is a commitment to financially support an external entity for a specific activity.

      Cost Allowable Unallowable
      Sponsorships with the purpose of providing funds to a project related event or activity X  
      Sponsorships viewed as donations   X

      Additional Information

      Sponsorships that provide funds to a project related event or activity are usually listed in the approved budget and may be justified by WSU participation in the event. A statement demonstrating the reasonableness of the cost should be included.

      Supplies/Materials

      Cost Allowable Unallowable
      Project supplies used for the performance of the award X  
      Computing devices that are essential and allocable to the project X  
      Office supplies   X

      Additional Information

      • When not charged solely to the project, appropriate allocation documentation should be maintained and may be reviewed.
      • When project supplies are purchased near the end of a project, please refer to the Needed, Received and Used section of this policy.
      • Office supplies can support numerous activities and are difficult to track for use to a specific project, and are therefore normally treated as an indirect cost, i.e. paid by General Fund accounts.
        • Examples of supplies that are typically considered office supplies are toner, paper, pens, office furniture, business cards, printers, etc.

      References

      Telephone Charges

      Cost Allowable Unallowable
      Long distance charges specifically identified to a project (i.e. who was called and how those called are affiliated with the project) X  
      Cell phone minutes, phone cards, or hardware needed for an international project X  
      Telephone charges, such as local and cell phone costs, not easily identifiable to the project   X
      Smart phones and related data plans   X

      Additional Information

      • Local and cell phone costs can support numerous activities and are difficult to track for use to a specific project, and are therefore normally treated as an indirect cost, i.e. paid by General Fund accounts.

      References

      Travel

      Cost Allowable Unallowable
      Travel costs such as transportation, lodging, and subsistence and related items incurred when necessary to support project activities X  
      Travel advance fee when necessary for documented project related travel or under special circumstances X  
      International transaction fee with receipt or bank/credit card statement X  
      Change fee for airfare with documented project related business purpose or under special circumstances X  
      Short term travel visa costs with documented business necessity X  
      Business/First class airfare or costs in excess of the least expensive commercial travel   X
      Dependent travel costs   X
      Extraordinary temporary dependent care costs   X

      Additional Information

      • Project related business purpose for the travel must be documented. Expenses are allowed when they are in accordance with WSU's travel policies: WSU Travel and Business Hosting Expense Policies and Procedures .
      • Air travel must be compliant with the Fly America Act, if federally funded.
      • Dependent costs may be allowable for travel with a duration of six months or more and with agency prior approval.

      References

  • Re-budgeting for Grant Funds

    Requests for re-budgeting of grant funds must include the following information:

    • Amount to be re-budgeted
    • Budget line from which money will be moved*
    • Budget line to which re-budgeted monies will be placed*
    • Justification for re-budgeting of funds

    *Note: Keep in mind that re-budgeting can affect indirect costs based upon what budget lines are adjusted.

    General procedures

    The Principal Investigator (PI) or their representative initiates the request using the SPA Re-budgeting Request form (pdf), which must be forwarded to the cognizant SPA Grant and Contract Officer (GCO) for processing. Contact your GCO with questions regarding procedures for internal approvals and for approval by the sponsor, when required. If the request falls within the guidelines of the sponsor and the university, the request will be processed by SPA Grant and Contract Officers and correctly reflected within the Banner financial system.

    Sponsor approval

    The PI, in accordance with school and/or department procedures, submits the request to SPA. SPA may require additional approvals before signing for the University. The sponsor must approve the request in writing. Sponsor approval may be provided by the sponsor's grant or contract officer in the form of a letter, email/electronic notification, or formal award modification.

     

  • Expenditure Request and Transfer Form - Restricted Funds

    All transfer requests for expenditures related to restricted funds (i.e. Sponsored Grant & Contract awards) must be submitted via this form to Sponsored Program Administration (SPA). An explanation for the transfer is required to facilitate the approval and completion of a journal entry; please also provide verification (i.e. Banner screen-shot, invoice) of transfer need. Per Federal guidelines, the transfer request must be submitted within 90 days of the expenditure posting to the Banner fund and prior to the grant/contract termination date. If the request is submitted after this period, an additional explanation for the delay must be provided. 

    A Principal Investigator or their representative must review expenditure requests after identifying the need for cost transfer. A request must then be formally made via the Expenditure Transfer Request Form - Restricted Funds.

    SPA will then review the expenditure request and approve and process accordingly.

  • Effort Reporting

    Effort reporting is the mechanism used to confirm salaries and wages charged to each sponsored agreement are reasonable in relation to the actual work performed. As a recipient of sponsored funds for research, Wayne State University must assure federal and other sponsors that the assignment of time and associated salary and fringe benefit costs to the projects they sponsor is fair, consistent and timely. Financial penalties, expenditure disallowances and even harm to the University's reputation could result from an inadequate effort reporting system or from failure to comply with effort reporting policies and requirements.

    Learn more about effort reporting procedures and guidelines at Wayne State University. 

    The following training materials may be useful in understanding effort reporting procedures at Wayne State:

  • No-cost Extension Procedures

    Non-federal awards

    No-cost extensions of non-federal awards will almost always require approval from the sponsor. If guidelines for extending the budget period are not included in the terms and conditions of the award, SPA will contact the sponsor on behalf of the principal investigator (see Procedures for Obtaining a No-cost Extension below).

    • The terms and conditions of the award prohibit the extension.
    • The extension requires additional federal funds.
    • The extension involves any change in the approved objectives or scope of the project.

    Federal awards

    Federal regulations provide a set of criteria for approving a one-time extension of the expiration date of a federal award for up to twelve months. These criteria are to be used by funding agencies when they retain the authority to issue no-cost extensions or by SPA when the authority is transferred to the University (under Federal Demonstration Partnership). The extension may be issued unless one or more of the following conditions/restrictions apply:

    Agency approval for extensions longer than twelve months must be requested. If the University approves a request for an extension of less than twelve months and the principal investigator subsequently wishes to lengthen that time period to a total of twelve months or longer, agency approval must be obtained.

    Procedures for obtaining a no-cost extension

    SPA No-Cost Extension Request Form

    The principal investigator must prepare the SPA No-Cost Extension Request Form describing the need for an additional period of time to complete the project objectives. The request must address programmatic issues and may describe justifiable delays, such as the loss of a skilled technician. The fact that there may be money remaining in the project's account is not sufficient reason for an extension. If the sponsor approval must be sought, the letter should be addressed to the sponsor grants officer but sent first to Sponsored Program Administration for an authorizing signature. If the University has been given the authority to approve the no-cost extension, the request should be addressed to the principal investigator's post-award officer in SPA.

    The Timing of the Request

    If sponsor approval must be sought, and if the sponsor is a federal agency, requests to extend a project period must be received by the SPA at least 30 days before the expiration date of the grant, unless otherwise specified. The principal investigator will need to send the request to SPA for review and authorization before any contact with the sponsor is made (if necessary). If the sponsor is a non-federal agency, the award document should be consulted for requirements regarding the timing of the request.

  • Changing Scope or Research Objectives Procedure

    A grantee organization is required to seek approval from the sponsoring agency when the scope or research objectives of the project change. Actions likely to be considered a change in scope or objectives include, but are not limited to, the following:

    • Change in the specific aims approved at the time of award.
    • Substitution of one animal model for another.
    • Any change from the approved use of animals or human subjects.
    • Shifting the emphasis of the research from one disease area to another.
    • Applying a new technology, i.e., changing assays from those approved to use of a different type of assay.
    • Transferring the performance of substantive programmatic work to a third party by contract or any other means.
    • Change in key personnel whose expertise is critical to the approved project.
    • Significant re-budgeting whether or not it requires approval under rules governing budget changes. Significant re-budgeting occurs when the cumulative amount of transfers among direct cost categories for the current budget period exceeds 25 percent of the total amount awarded, or $250,000, whichever is less.
    • Incurrence of patient care costs not previously approved and/or when a grantee desires to re-budget funds out of the patient care category.

    Note: This list is not all-inclusive. In the event of uncertainty as to whether a particular change is significant enough to require your sponsoring agency's prior approval, questions should be referred to your grant and contract officer.

     

  • Change of PI or Institution Procedures and Relinquishing Statement Instructions

    Award Transfer Process

    Grants and contracts are awarded to the grantee (The University) on behalf of Principal Investigator (PI). If a PI is transferring to or from another institution, Sponsored Program Administration will work with the PI, the department, and college to retain or transfer his/her awards.

    The awarding agency, or sponsor, must give prior approval for all grant/contract transfers. Although exceptions may apply, in general, contracts (not grants) must be terminated at the original institution before they can be reissued to the new institution. Normally, grants go with the PI during a transfer; however, the grantee can request a substitute PI to the sponsoring agency. In this case, the funded project may be related to the university and not just to the PI.

    As an alternative to a transfer, the original grantee may issue subawards for the rest of the project if time and funds remaining are modest and both sides agree.

    Action Needed by the Principal Investigator Prior to Transferring Grants and Contract Awards

    The PI must contact the Department Chair at their old institution for prior approval.
    The PI must notify their sponsoring program officers (agency) about the transfer request to be made.
    The PI must review the original award documentation for the following information:

    • Cost sharing requirements: Determine if these have been met and whether any unmet requirements will be transferred.
    • Equipment purchased: Produce a list of equipment purchased on the current award (cost, acquisition date, property tag number and funding source) and obtain approval from the Department Chair and Property Management of the old institution to authorize the transfer.
    • Subrecipient: Inform collaborator(s) of move. Determine status of the subrecipient’s part of the project. Current sub contracts may need terminating and new subcontracts issued as a result of transfer.  
    • Material and data transfer: Work with the appropriate office at either institution to initiate a Material Transfer Agreement (MTA), if needed.
    • IRB and IACUC protocols: Close out protocols at the old institution and ensure protocols are satisfied at the new institution.
    • Co-PI: Determine the role of the Co-PI that will remain at the old institution and if a subrecipient agreement for him/her will be required.

    The PI must contact SPA and provide the following information:

    • The effective date of termination.
    • The name of the new institution.
    • List of grants requesting to be transferred and grants to remain.
    • List of equipment requesting to be transferred.
    • Signature line for Dean/Chair approval of transfer of funded project and equipment.

    The PI must create an incoming letter for the new institution. If standard statements and forms are not available, the letter should document the following information:

    • The effective start date at the new institution.
    • The name of the old institution.
    • List of grants to be transferred.
    • List of equipment/material to be transferred.
    • Any other relevant information that will help the new institution to facilitate the transfer.

    The PI must submit to their new institution all required agency forms and reports for the transfer.

    The PI should submit an administrative transmittal to the WSU Sponsored Program Administration (SPA) for each of the awards to be transferred into WSU, out of WSU, or retained at WSU.

    The PI must work with their old department to provide the old institution’s office of sponsored research the final figures for the relinquishment amount of the award to be moved to a new institution.

    Transfer of Awards from Another Institution to Wayne State University

    The transfer process may begin before the PI’s official appointment date at WSU. SPA usually waits to hear from the old institution and the sponsor to confirm the relinquishment amount. However, if the PI did not complete all the necessary reports and paperwork to initiate the transfer at the old institution, SPA can assist in this process. To initiate the transfer process and set up the award at WSU, SPA will need the following from the PI and the WSU department:

    • A Provisional Fund Request (PFR) for each award to be transferred with the incoming letter from the old institution.
    • A complete copy of the original proposal to the sponsor, including copies of procurement process/ documentation for any existing and continuing paid collaborators/contractors/consultants on the award.
    • If available, a copy of the signed relinquishment statement from the other institution. If one is available, interim funding may be requested.
    • Any agency required forms. Above are the specific agencies forms and instructions for NIH and NSF.

    Once the transfer is completed, SPA will receive a Notice of Award from the sponsoring agency reflecting the estimated balance of the award funds to be transferred. The PI and department will receive a Notice of Award from SPA. The amount of the award may be more or less than the original estimate. A modification to the awarded amount may later be issued.

    Transfer of Awards to Another Institution from Wayne State University – General Requirements

    SPA will contact the sponsor and send an official letter/email to relinquish the award. The letter to the sponsor will stipulate that the transfer will be properly affected in accordance with applicable law and indicate that the transfer relinquishes all rights and interests in all the affected grants. It will also request that the awarding office(s) modify its records to reflect the transferee (new institution) as the grantee of record and give the effective date of the transfer. If available and necessary, the letter also will provide the sponsor with the transferee’s Entity Identification Number/Name and include verification of the transferee’s compliance with applicable requirements (e.g., research misconduct). Lastly, the letter will provide the sponsor with a list of the grant(s) to transfer (active and pending) with the following information for each and any necessary documentation attachment needed by the sponsor:

    • Complete grant number.
    • Name of PI.
    • Current budget period and project period.
    • Deobligation amount. (For NIH use the PHS 3734 deobligation form that lists the estimated amount to be released and equipment.)
    • Any final invention or IP issues. (For NIH use HHS 568 Final Invention Statement and Certification form.)
    • For NIH and any other agency requiring it, 90 days after the end of the final budget period at WSU, SPA will submit a final Financial Status Report. (For NIH, Form 425.)

    Retaining an Award when a PI is Leaving the Wayne State University

    If the award is to stay at WSU and the PI is leaving, the Department Chair and Dean in collaboration with the PI will propose a new PI for the award to the sponsor. SPA will submit the request to the sponsor for approval. If approved, SPA will be issued an amendment to the award naming the new PI. The following information is needed to submit to the sponsor for approval:

    • A Provisional Fund Request to change Principal Investigator of project
    • A statement from the PI/Chairman/Dean stating the reason/benefit of retaining the award and showing how the new PI selected is suitable to continue the project.
    • The biographical sketch of the individual proposed as the new PI.
    • Other sources of support of the new PI. In the case of NIH, complete PHS 398 Form, Page 7 (via Cayuse S2S)
    • Any budget or cost center changes resulting from the proposed change.
    • If applicable, any change in level of effort (a reduction of 25% or more must be reported).

    NOTE: Per University Policy #86.2, when the PI leaves WSU, the balance of his/her share of indirect cost funds will revert to the department.

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