This page looks at the types of information contained in a Notice of Award. Examples from various awards are provided throughout.

While sponsors’ Notices of Award will differ in format, most will contain information about the topics included on this page.

Reviewing Notices of Award at the time of receipt, in conjunction with the sponsors’ general award management guidelines, will help to ensure that projects progress smoothly.

For questions arising from the this page or reviewing a Notice of Award, please contact your Award Setup GCO (see AMT Directory on the Award Management Team FAQ).

Award type

Grants

Grants generally have a more flexible scope of work and budget. Diligent efforts are used in completing research and delivery of results. The PI has more freedom to adapt the project, and less responsibility to produce specific results.

Example:

NASA Grant and Cooperative Agreement
__ Cooperative Agreement
X   Grant

Cooperative agreements

Cooperative agreements are used when there is a substantial scientific and / or programmatic involvement by the sponsor. The sponsor’s scientific or program staff will assist, guide, coordinate, or participate in project activities.

Example:

“This award is issued as a Cooperative Agreement, a financial assistance mechanism in which substantial NIH scientific and/or programmatic involvement is anticipated in the performance of the activity. This award is subject to the Cooperative Agreement Terms and Conditions of Award.”

Contracts

Contracts place emphasis on delivery of results and performance. Payment is based on completing deliverables and / or milestones. There are frequent reporting requirements and a high level of responsibility to the sponsor for the conduct of the project and production of results.

Example:

“The purpose of the contract is to conduct advanced research and development of a Biodosimetry Assay System to assess an individual’s absorbed dose of ionizing radiation after a nuclear/radiological detonation or incident in which mass injuries have occurred utilizing nucleic acid biomarkers. This is a cost-reimbursement type contract with an educational institutional issued under BAA-BARDA-09-36.”

Award period

Budget period

An interval of time, most commonly 12 months, which the project period is divided into for budgetary and funding purposes. It may or may not coincide with project period.

Project period

The total time for which support of a project has been programmatically approved, may consist of more than one budget period (each budget period is generally contingent on availability of funding and / or project progress).

Example:
Budget Period: 09/01/2011 – 08/31/2012
Project Period: 09/15/2008 – 08/31/2013

Sponsor funding

Dollars committed / obligated

The dollars committed or obligated refers to the amount of funds which may be spend during a given time period.

Future funding

When a sponsor plans to give funding in increments, they will indicate an amount obligated, plus the additional amount of funding anticipated in the future. Generally, the sponsor’s commitment for future funding is contingent on the availability of funds and satisfactory technical progress.

Example:

Funding	Activity/agency share	Recipient share	Total
Obligated by this action:	$1,118,156.00	$.00	$1,118,156.00
Total obligated on award:	$1,118,156.00	$.00	$1,118,156.00
Future funding:	$3,852,581.00	$.00	$3,852,581.00
Grant total:	$4,970,737.00	$.00	$4,970,737.00

Current funding period: 01-Apr-09 through 31-Mar-10
Period of performance 01-Apr-09 through 31-Mar-14

ASU cost sharing

Cost sharing

Check to see whether ASU is required to cost share funds. For additional information about cost sharing and its implications for the project and the PI, please review the Cost Sharing.

Example:

Funding information
Total amount of agreement for recipient/other: $50,000.00
Total amount of agreement for reclamation*: $50,000,00
Amount of funds obligated for recipient/other: $50,000.00
Amount of funds obligated for reclamation: $50,000.00

Cost share ratio: 50.00% for recipient/other 50.00% for reclamation

* “Reclamation” in the above example is the sponsor’s name.

Budgetary restrictions

Sponsors sometimes place restrictions on how funds may be used. In the examples below, each statement deals with carryover of funds from one budget period to another. In one case, the carry forward has been allowed, but how those funds may be used is restricted. In the other scenarios, the sponsors and stating that carryovers from one budget period to another are not automatic. The must be explicitly requested of the sponsor. Carryovers are just one type of budgetary restrictions that may be noted in NOA.

Examples:

Section IV – DA Special Terms and Conditions – 5U01DA025307-04 Revised

This award includes a carryover of $402,572 ($319,502 direct costs; $83,070 F&A costs) from the 03 year to the 04 year. These funds are restricted for the purpose requested in the letter of MM/DD/YY from Danielle Silvas/Arizona State University, and may not be rebudgeted or used for other purposes. 

Other budgetary restrictions

Additional budgetary restrictions

Other types of restrictions may be related to specific activities within the project. For example, in a case where the award was made prior to receipt of human subjects approval, the sponsor restricted funds allocated to this activity until such time that all approvals where in place. In the other scenario, restrictions prohibit project activities with China.

Examples:

Human Subject Restriction
Funding in the amount of $2,240 has been restricted pending receipt of the appropriate IRB approvals in the following categories:
Healthcare Associated Infections Prevalence Survey (HAI):
Direct $2,000
Indirect $240
Total $2,240

• Restrictions on funding activities with China for awards subject to 14 CFR 1260 (Deviation Feb 2012)
  • Pursuant to The Department of Defense and Full-Year Appropriation Act, Public Law 112-10, Section 1340(a); The Consolidated and Further Continuing Appropriation Act of 2012, Public Law 112-55, Section 539; and future-year appropriations (hereinafter, “the Acts”), NASA is restricted from using funds appropriated in the Acts to enter into or fund any grant or cooperative agreement of any kind to participate, collaborate, or coordinate bilaterally with China or any Chinese-owned company, at the prime recipient level or at any subrecipient level, whether the bilateral involvement is funded or performed under a no-exchange of funds arrangement. 

Other terms and conditions

When sponsors want to place certain rules or prior approvals upon a project, whether financial or administrative, specific terms and conditions appear in the NOA. These terms and conditions are specific to the award, and supersede general rules that may normally apply to that sponsor’s awards.

Examples:

This institution is a signatory to the Federal Demonstration Partnership (FDP) PHase V Agreement which requires active institutional participation in new or ongoing FDP demonstrations and pilots.

• The Principal Investigator shall allocate at least 20% of his/her time to this grant.
• Organizational changes –changes in key personnel, the addition or deletion of sites and partners (e.g., prisons, parole/probation departments, and treatment programs), or other significant organizational changes must have the prior written approval of NIDA. 

Reporting

Accounting and reporting obligations

The PI is responsible for ensuring technical reports are completed on time. The RA is responsible for providing the PI with the timeline for reports due under the award. ORSPA’s AMT will submit financial reports. The RA / Unit should ensure that allowable expenses are posted to the account in a timely manner to facilitate accurate preparation and submission of the financial reports by AMT.

Example:

G. Quarterly status reports must be submitted to NIDA, within 30 days of the end of each calendar quarter, in addition to the standard NIH requirement for annual progress reports. Quarterly status reports must report on quarterly and cumulative recruitment, retention, and follow-up rates for each research protocol, by research site. The inability of a Research Center to meet the performance requirements and responsibilities may result in an adjustment of funding, withholding of support, or suspension or termination of the award.

H. Annual progress reports must report on the Research Center’s activities. In addition, annual progress reports will report on the Center’s progress on each study in which it participates, including progress, obstacles and steps taken to remedy them, and any changes and departures from the approved study protocol, as well as any human subjects issues. Annual reports must also include specific sections on: (a) progress regarding HIV/AIDS research; (b) GPRA.

Deliverables

This terms may refer to technical reports, oral presentations, and other work products, which must come out of the project. Failure to complete and submit deliverables according to the timeline established in the award is cause for the sponsor to withhold payment of funds due, delay the aware of future funding, and / or terminate the project.

Example: 

Monthly Progress Report – the 15th calendar day of each month following the first full month of the contract award. The Monthly Progress Report will not be required on months when an Annual or Quarterly Progress Report is due. 

Quarterly Progress Report -The 15th calendar day of the month following the end of each 3 month performance period. The Quarterly Progress Report will not be required on months when an Annual Progress Report is due. 

Payments

Payment to the University

PIs/RAs should make themselves aware of the conditions for payment. For example, are there payments that are linked to reports of other deliverables? If yes, it is particularly important that the PI make timely submissions of required items to ensure ASU can receive payment. Also important is the need to ensure allowable expenses are posted as soon as possible, so invoices to the sponsor can recover funds expensed in a timely manner.

Example:

Invoicing – 812INV (06-10)

Contractor shall submit an original invoice within thirty (30) days of delivery of goods or services or once monthly within the Period of Performance in accordance with contract Terms and Conditions. 

Agency contacts

The Project Officer / Program Officer (PO) is responsible for all programmatic issues. The Grants Management Officer (GMO) is responsible for administrative and fiscal issues. Change requests that require approval from the sponsor typically must come from the GMO, not the PO.

Examples:

Staff contacts

The Grants Management Specialist is responsible for the negotiation, award, and administration of this project and for interpretation of Grants Administration policies and provisions. The Program Official is responsible for the scientific, programmatic and technical aspects of this project. These individuals work together in overall project administration. Prior approval requests (signed by an Authorized Organizational Representative) should be submitted in writing to the Grants Management Specialist. Requests may be made via e-mail.

Grants Management Specialist: Edith L. Davis

Email: [email protected]

Program Official: Dionne Jones

Email: [email protected]