Frequently Requested Information
Contact Information Accordion Closed
Office of Sponsored Projects
Location
Science Annex, Building 20, 4th Floor
525 S. Beaver Street
Flagstaff, AZ 86011
Legal Address
601 S. Knoles Dr.
Room 220,
Flagstaff,
AZ 86011 USA
Mailing Address
PO Box 4130
Flagstaff, AZ 86011
Other Information
Applicant Organization
The Arizona Board of Regents for and on behalf of Northern Arizona University is the entity legally authorized to submit proposals and to enter into agreements.
Organization Type
NAU is a public entity, an Institution of Higher Education in the State of Arizona subject to the Arizona Board of Regents (ABOR) and the laws of the State of Arizona. NAU is authorized under ARS § 15-1626 to enter into agreements. As an AZ public entity/instrumentality, NAU is a non-profit organization that is exempt from taxes under the Internal Revenue Code (IRC), codified at 26 U.S. Code § 115.
Fiscal Officer
Checks should be made payable to Northern Arizona University and sent to:
Sponsored Receivables
PO Box 4080
Flagstaff, AZ 86011-4080
FEDERAL AND STATE IDENTIFYING, COMPLIANCE/ASSURANCE NUMBERS | |
---|---|
Animal Welfare Assurance Number: | D16-00523 (A3908-01) Effective 08/09/2022 to 07/31/2026 |
AZ Employer Identification Number: | A416 |
AZ State Sales Privilege Tax ID Number: | 03-011997-K |
Corporate and Government Entity (CAGE) Code: | 2F318 |
County: | Coconino |
Data Universal Numbering System (DUNS #): | 80-634-5542 |
DHHS Institutional Profile File (IPF) Code: | 482601 |
DHHS OHRP IORG #: | IORG0000822 |
Federal Employer Identification (EIN, TIN, or IRS #): | 74-2579628 (For NIH: 1-742579628-A5) |
Federal Interagency Committee on Education (FICE Code): | 001082 |
Federal Wide Assurance Number (FWA)(Human Subjects): | FWA00000357 (Expires 12/23/2026) |
IRB Registration Number: | 00001180 |
NAU AZ TPT License number #: | Filing Period: 03/01/2023 - 03/31/2023 |
North American Industry Classification System (NAICS): | 611310 for colleges, universities and professional schools |
NSF Fast Lane Zip Code for Primary Place of Performance: | 860110001 (Use nine digit code with no dashes) |
NSF Institution Number: | 0010827000 |
OPEID # The Office of Post Secondary Education (OPE) ID is used by the Department of Education for federal student financial aid eligibility purposes: | 00108200 (The OPEID # is an 8-digit number. The first 6 digits of the OPE ID identify the main campus. The last 2 digits represent branch campuses or additional locations. For the main campus the last 2 digits will always be "00".) |
State Legislative District: | Sixth |
System of Award Management (SAM): | Valid until 10/29/2024 |
U.S. Congressional District: | AZ-002 |
U.S. Department of Education NCES #: | 105330 |
Unique Entity Identifier (UEI) number: | MXHAS3AKPRN1 |
USDA DHHS Payment Management System (PMS) PIN #: | 9M99P |
USGS ASAP Payment System PIN #: | 0445902 |
Facilities & Administrative Cost Rates Accordion Closed
Facilities & Administrative Cost Rates
(Also called F&A, Overhead, and Indirect Costs)
Cognizant Agency: U.S. Dept. of Health and Human Services (DHHS)
DHHS Representative: Helen Fung, 415-437-7820.
View the 2023 F&A Rate Agreement
Effective July 1st, 2023 until June 30th, 2027.
Location: | Applicable to: | Rate (%): | From: | To: | Type | ||||
---|---|---|---|---|---|---|---|---|---|
On-Campus | Organized Research | 52.50 | 07/01/2023 | 06/30/2027 | PRED. | ||||
On-Campus | Instruction | 51.20 | 07/01/2023 | 06/30/2027 | PRED. | ||||
On-Campus | Other Sponsored Activity | 29.40 | 07/01/2023 | 06/30/2027 | PRED. | ||||
Off-Campus | Organized Research | 26.00 | 07/01/2023 | 06/30/2027 | PRED. | ||||
Off-Campus | Instruction | 26.00 | 07/01/2023 | 06/30/2027 | PRED. | ||||
Off-Campus | Other Sponsored Activity | 23.70 | 07/01/2023 | 06/30/2027 | PRED. |
Important: Use Approved Rates
The university’s policy is to request NAU’s federally approved rates unless a different rate has been stipulated by the sponsor in writing (documentation is required). Exceptions (waivers or reduction of F&A) are VERY RARE and must be approved in writing by the Chair(s), Dean(s)/Director(s), and Vice President for Research.
Requests must be submitted at least two weeks prior to the proposal deadline.
Breaking Down the Costs of Federal Research at Universities Accordion Closed
Breaking Down the Costs of Federal Research at
Universities
The historic partnership between the federal government and research universities has produced tremendous return on investment through improvements in human health, transformative technologies, and the development of the world’s best research workforce. The federal government has long sponsored research at universities because innovations and new technologies help our country prosper and enhance our national security. The Internet, GPS technology, touchscreen phones, and treatments for cancer and heart disease are just a few examples of the countless innovations that have resulted from federally sponsored university research. University-based research is an investment that benefits all Americans: it serves the dual functions of 1) making the discoveries that are the foundation for technological and medical progress, and 2) training the next generation of scientists, engineers, and entrepreneurs.
Typically, universities are awarded federal research funds through a competitive grant process that helps ensure the best projects receive support. Federal research grants awarded to a university comprise two essential parts: 1) Direct Costs, and 2) Facilities and Administrative (F&A) Costs, often referred to as Indirect Costs.
1. Direct Costs – These solely support research and include costs for:
- laboratory supplies, such as test tubes and beakers;
- research equipment, such as microscopes;
- salary support for the scientists and engineers conducting the research;
- stipends for graduate students working on the research; and
- travel that may be necessary for conducting research or for sharing research results.
The bulk of federal investment is spent on direct costs and the government provides funds at the start of the research project.
2. F&A Costs (Indirect Costs) – Universities incur significant costs leading up to and while conducting federal research projects. F&A costs cover a portion of the university’s infrastructure and operational costs necessary to conduct federally-funded research. These shared costs cover a portion of:
- construction and maintenance of sophisticated, high-tech labs;
- utilities such as lighting, water, air conditioning, and heat;
- telecommunications, internet, and data storage;
- radiation safety and hazardous waste disposal;
- security for sensitive and dangerous chemicals; and
- the personnel, paperwork, and other costs needed to comply with federal, state, and local regulations.
Universities pay these expenses as they conduct federally sponsored research, and the government then partially reimburses universities for a portion of these necessary research expenses.
How are F&A Costs Calculated?
In theory, the federal government could seek to determine the exact share of F&A costs required for each individual research grant. However, given that federal agencies issue tens of thousands of grants annually, such a system would be a costly and bureaucratic nightmare. Instead, the government has developed a system that eliminates the need for repeated complex calculations.
Whether it’s the cost to maintain a lab, connect to high-speed internet, or light laboratories, what a university pays for items that fall under F&A costs tend to cover a variety of projects, not just one federal research project and not even solely federal research. For example, a university may pay a $5,000 quarterly fee for hazardous waste disposal. Since only a portion of that waste is the byproduct of federal research, the government only pays for the share of the waste produced in the conduct of federally sponsored research per strict rules and limits established by the Office of Management and Budget. It would be more costly, time consuming, and inefficient to have two separate hazardous waste disposal contracts – one for all federal research and another for everything else.
To determine the level of F&A costs reimbursement, a university and the government periodically assess these shared costs and determine the appropriate federal portion. The overall figure is ultimately calculated as a percentage of the amount the government awards for direct research costs (not a percentage of the overall funds, which is a common misperception). For example, after reviewing all the expected costs and looking at past research projects, both parties may determine that an amount equal to 50 percent of direct research costs is appropriate for the government to contribute toward F&A costs. In that case, if the government awards a university $300,000 for the direct costs portion of a research grant, then it also awards $150,000 for F&A costs, for a total of $450,000. (Note: In practice, the total F&A reimbursement would likely be slightly less since some elements of direct costs are excluded from the F&A calculation.)
How is accountability built into the F&A reimbursement system?
Universities are mindful of the need to appropriately use federal resources and contain costs while getting the most out of research projects. In fact, it is worth noting that the total F&A costs for research performed by universities are, on average, comparable to if not slightly less than other research performers, such as federal laboratories and private contractors (RAND, 2000). Moreover, since 1991, the Office of Management and Budget has had in place a 26-percent cap on the percentage of government funds that can be provided to universities to cover administrative expenses (including costs incurred by the university to comply with federally mandated regulations).
The percentage resulting from the F&A calculation varies from university to university because costs vary based on factors such as: geographic location, the condition of the research facilities, and the amount of renovation and construction needed to house certain types of research. A university’s specific percentage rate is applied to all federal grants moving forward for a three or four-year period. During that time, the government requires a rigorous review and audit of a university’s F&A expenses to ensure that the school is using the funds appropriately. The rate is reexamined at the end of this period, and adjustments are made as warranted.
The Partnership: Universities and the federal government share the total cost of research
Performing research to benefit humankind is a fundamental mission of U.S. research universities. The federal government sponsors university-based research because it seeks discoveries that lead to innovations and new technologies that will advance human health, fuel economic prosperity and enhance national security. Without the federal government’s reimbursement of F&A costs, universities would scale back research that may help develop the next vaccine or cure, or the next technological innovation that will create new businesses or help secure our country. Groundbreaking science at universities simply could not happen if they could not recover the costs of electricity, laboratory space, and other F&A costs necessary to do research.
Universities share a commitment to transparency, to careful stewardship of taxpayer dollars, and to conducting quality research and training. While the current system of F&A costs is complex, it is integral to the successful university-government partnership. Universities continue to work with the federal government to identify ways to make this process even clearer and more effective.
— Association of Public and Land-grant Universities & Association of American Universities, March 2017
How Sponsored Projects are Transferred to NAU Accordion Closed
How Sponsored Projects are Transferred to NAU
Definition: “Transfer of Sponsored Project(s)”
When faculty at another institution accepts a position at NAU, they often want to bring grants/contracts along with them. The process of getting approval from the sponsor, the former institution and NAU is commonly known as the “Transfer of Sponsored Project(s)”.
Incoming faculty notification
NAU Office of Sponsored Projects (OSP) staff may be notified directly by their unit or the incoming faculty member and/or will be notified by the Office of the Vice President for Research of the new faculty member to NAU.
Introduction to NAU OSP Team
It is strongly recommended that each unit develop a process for how they wish to welcome new faculty members. At a minimum, it is recommended that the OSP staff contact the new faculty member to introduce themselves and their team, to provide an overview of services provided, to set up user accounts (FastLane, eRA Commons, Pivot, Cayuse SP, PeopleSoft etc.) and to offer to answer any questions the incoming faculty member may have.
Transfer Process
Actions to be taken by PI at former institution
1. Discuss the request to transfer project(s) with their chair and/or dean
2. Contact their sponsor(s) for guidance on transferring award(s)
3. Contact the former institution’s Sponsored Projects Office to
3a. Advise the intent to transfer project(s)
3b. Relay the guidance provided by the sponsor
3c. Seek guidance from the former institution on internal process
related to transfers
3d. Develop a plan for the transfer:
- Will it transfer at the beginning of a new funding year?
- Will it move during a funding year?
- Will any money be subcontracted back to the former institution?
Granting agencies make awards to the institution, not to the individual PI. It is the former institution’s prerogative to allow transfer or to name a replacement PI at that institution. The PI must contact his/her former institution and granting agency directly to discuss options. If the institution will not relinquish the award, the PI may request the former institution subcontract a portion of the funds to NAU. The former institution may or may not be agreeable.
Transferring a grant can take a significant amount of lead-time to implement. Factor this into consideration when determining the start date for the funds transferring to NAU. For guidance, speak with the former institution’s sponsored projects office.
Subcontracting a portion of funds from the former institution to NAU is not considered a transfer of project. It is a new award which follows the standard NAU polices and proposal development process.
Actions to be taken by PI in conjunction with NAU OSP
Transfer projects will follow the process outlined in the Sponsored Project Lifecycle, Proposal Development section on the OSP website. Listed below are some helpful hints to get the process started:
- Confirm that the PI has notified the sponsor and the former institution’s unit and sponsored projects office of their departure. If not, provide the PI the information discussed in “Actions to be Taken by PI at Former Institution.”
- Confirm with the PI that approval from the sponsor and the former institution to relinquish the project to NAU has been granted. If not, direct the PI to the former institution’s sponsored project’s office.
- Obtain the program officer/contact information for the sponsor and the former institution’s sponsored projects administrator.
- Contact the former institution’s sponsored projects administrator for (a) any sponsor instructions they have received for transfer of the project, (b) copies of the award notices and the formal relinquishing statement, and (c) the balance of funds being transferred to NAU.
- Request that the PI provide
a. Any submitted technical reports.
b. A copy of the proposal(s) submitted related to the project.
c. A list of the project objectives that have been completed.
d. A list of the project objectives that will be completed at NAU.
e. Any other technical/scientific/programmatic items the sponsor requires NAU submit to effect the transfer. - Determine whether the project involves any special review processes, such as humans, animals, biosafety, etc. If so, it is important to provide the incoming faculty member with the Research Safety & Compliance website. In order to avoid disruption to the project, special review processes should be started as soon as possible.
- If the project involves the transfer of equipment, advise the PI to:
a. Discuss the transfer and any needed space required to house it with the unit chair and/or dean.
b. Provide the sponsor’s guidance related to use of the transferred equipment, after the project ends.
c. Advise PI that all transferred equipment must be notified to Property Control. - If the PI will sub-award a portion of funds back to the former institution to allow specific objectives to be completed there, include the former institution’s budget.
Proposal review and approval
1. As with all proposals, transfer proposals must follow the standard routing and approval process.
2. The transfer proposal must be forwarded to OSP for review and approval prior to submission.
3. OSP must advise PI of any communications with the transfer institution that impacts the preparation and submission of the transfer proposal.
4. OSP will submit the proposal to the sponsor for review.
Submission of the transfer proposal does not constitute an award. Accounts are only set up upon receipt of an award to NAU from the sponsoring agency
Pre-award advance account request (if needed)
PI: A Sponsored Project Action Request (SPAR) form should be completed and submitted.
Prior Year Single Audit Accordion Closed
Arizona General Accounting Office website: https://gao.az.gov/financials/single-audit