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This tab contains information on any waivers of Federal or Penn State policy.

Some questions will require a file upload of the approval. If the approval is in an email, save it as a PDF prior to uploading.

Investigators will not have access to review or edit this tab, only Department Heads, Research Deans, AOR(s).

The waivers tab can only be completed by the submitting AOR or DRA.


  1. Type of F&A: If you have imported data from a budget in SIMSbudgets, the answer will default based on the F&A rates in the budget. If there is less than full F&A being proposed, choose the reason from the list. If OSP has approved a waiver of full F&A, you will be required to upload a PDF of the approval email or document. Required to submit IAF (see below for valid "Type of F&A" options).
    1. Type of F&A options:
      1. Full with Industry Premium
      2. Full (on campus)
      3. Full (off campus)
      4. Partial
      5. None
    2. If the budget indicates less than full F&A, please indicate why?: Required to submit IAF if Type of F&A is Partial or None. File size limit is 100MB.
      1. This field is sometimes referred to as Waiver Reason and contains the following options:
        1. Ben Franklin Technology Partners
        2. Clinical Trials (26% TDC)
        3. Domestic non-profit with published guidelines (upload required)
        4. Domestic non-profit without published guidelines (15% TDC)
        5. Federally imposed restriction (e.g., USDA, USDE)
        6. Fellowship
        7. Field Trial Grant (15% Total Costs)
        8. Gift
        9. IPA agreement
        10. Membership Agreement (10% total costs)
        11. Membership Agreement (15% total costs)
        12. Mixed state/federal funding (F&A on federal funds only)
        13. State funding (no federal funds)
        14. State funds flowed through local gov. or school board
        15. Tuition Agreements
        16. Unrestricted Grant (15% total costs)
        17. Waiver approved (upload required)
      2. Special Processing Rules Based on Waiver Reasons
        1. When either Gift or Unrestricted Grant (15% total costs) is selected, investigators and key personnel will be required to complete the Gift Questionnaire on the Investigators tab to comply with Penn State Policy RA04. Investigators will not have to answer questions related to Intellectual Property (IP) and IP questions will not appear on the investigators tab.
          1. The answers to the gift questionnaire will be cleared if F&A Waiver reason changes from Gifts or Unrestricted Grant (15% total costs) to any other option.  If the sponsor is industrial this change will also require approvals to be cleared in order to solicit responses to the intellectual property questions.
          2. When F&A Waiver reason changes to Gifts or Unrestricted Grant (15% total costs) from any other option after the PI approval has been confirmed, then approvals will need to be cleared in order to solicit responses to the Gift Questionnaire.  A processing note will be added to record this action.  If the sponsor is industrial, this change will also clear responses to intellectual property questions. 
        2. When Domestic Non-profit with published guidelines or Waiver approved is selected as the waiver reason, the IAF requires F&A supporting documentation.
  2. Will administrative expenses be charged?: Administrative expenses (such as office supplies and clerical salaries) may not be direct charged on federal funds except under special circumstances. Additional detail regarding when administrative charges can be direct charged to a project http://www.research.psu.edu/osp/documents/proposal/CASBFAQ.pdf. Requests for exceptions can be submitted by using the Cost Accounting Justification Forms http://www.research.psu.edu/osp/manage-awards/financial-management. If you select Yes, you will be required to upload a PDF of the approval email or document. Required to submit IAF (see below for valid "Waiver Reasons" options).
    1. Provide copy of waiver approval form: Uploaded waiver. Must be in PDF format. Required to submit IAF. File size limit is 100MB.
  3. Is there cost share or matching?: If there is any Penn State cost sharing on the proposal budget, please answer Yes. If you select Yes, you are required to detail the types of cost share or matching in the cost share grid. Costs can be categorized as Mandatory/Committed (MC), Voluntary/Committed (VC) or Voluntary/Uncommitted (VU) among the following cost share types.  For more information on how to fill out this grid, please click on the Cost Sharing FAQ which is linked to the right of this question.  Required to submit IAF.

    1. Cost Share Types
      1. College/Unit (ONLY DIRECT COSTS): Must be 0 or greater.  If a value is entered in this line a copy of cost sharing documentation is required. 
      2. Central (ONLY DIRECT COSTS): Must be 0 or greater.  If a value is entered in this line a copy of cost sharing documentation is required. 
      3. F&A:  Must be 0 or greater.  If a value is entered in this line a copy of cost sharing documentation is required. 
      4. Subrecipient(s):  Must be 0 or greater.  If a value is entered in this line a copy of the subrecipient documentation is required. 
      5. Third Party/Partner In Kind: Must be 0 or greater.  If a value is entered in this line a copy of the Third Party Commitment Letter is required. 
      6. Third Party/Partner Cash: Must be 0 or greater.  If a value is entered in this line a copy of the Third Party Commitment Letter is required. 
    2. Cost Share Uploads (Must be in PDF Format.  File Size Limit is 100MB)
      1. Provide cost sharing documentation: Uploaded waiver.  Required to submit IAF if a value is entered in College/Unit, Central, and/or F&A rows.
        1. If a file has been uploaded, and all values in the College/Unit, Central, and/or F&A rows are removed, the cost sharing file will be deleted.
      2. Provide subrecipient documentation:  Cost Share Approval (budget and commitment letter).  Required to submit IAF if a value is entered in Subrecipient(s) cost share row. 
        1. If a file has been uploaded, and all values in the Subrecipient(s) cost share row are removed, the subrecipient file will be deleted.
      3. Provide the third party commitment letter:  Required to submit IAF if a value is entered in the Third Party/Partner In-Kind and/or Third Party/Partner Cash rows.
        1. If a file has been uploaded, and all values in the Third Party rows are removed, the third party file will be deleted.
      4. If any of the above files have been uploaded and the answer to "Is there cost share or matching?" changes to no, those files will be deleted.