Intro to Grants Flashcards
Grant Characteristics
“Financial assistance” Hypothesis-driven research Most flexibility Fewest terms Governed by Uniform Guidance
Cooperative Agreement Characteristics
Substantial involvement of sponsor
Often used for large, multi-institutional/million $ projects
Contract Characteristics
“Procurement” of goods/services; recipient treated as a “vendor”
Activities dictated by sponsor
Least flexibility
Most terms
Very specific budget
Governed by Federal Acquisition Regulation (FAR)
Fixed Price Agreements
o Sponsor determines that the price quoted is reasonable and does not want to give the Contractor an opportunity to adjust their price based upon actual expenses incurred during performance.
o Completion of a task/milestone usually renders a payment due
o More risk to contractor
Cost Reimbursable Agreements
o Contractor is reimbursed for allowable costs incurred during contract performance.
o Total cost estimate is prepared and the award contains a ceiling that may not be exceeded without Sponsor approval.
o UG applies
Indefinite Delivery Indefinite Quantity Agreements
o Issued when a set quantity of goods or services are needed, but not known or specified
o Sponsor issues task orders for the delivery of the goods or performance of the services during the life of the contract.
Time and Materials Agreements
o Allows a Sponsor to acquire supplies or services based upon specific labor hours and actual material costs.
o Universities do not track time using an hourly time-keeping system, so it is impossible for us to report and certify hours on an invoice - not appropriate for a University.
7 phases of government contracting process`
1) Pre-proposal
2) Solicitation
3) Proposal
4) Negotiation
5) Award
6) Contract Administration
7) Closeout
Standard Form 33
This Standard Form 33, Solicitation, Offer and Award is the solicitation/contract form used by the federal government, not only to solicit orders, but also to award a contract, since it is a bilateral (two-signature) document. This means the bidder signs the document and submits it to the government.
Types of Proposals
- Solicited (RFP, RFA, RFQ, FOA, BAA) – PI responds
- Unsolicited – no formal sponsor solicitation, may be called Investigator-Initiated proposal
- New
- Continuation (Renewal or competing)
- Supplemental – Adds funds and expands scope of project
- Contract – specifically for a particular contract and includes line-item pricing, for goods and services
Federal Demonstration Partnership (FDP)
- Cooperative initiative among 10 federal agencies and 217 institutional recipients of federal funds. Redefined the Government University Research Partnership
- Purpose: to reduce the administrative burdens associated with research grants and contracts by providing uniform set of conditions
- Primary benefit to member institutions – simplified and streamlined terms and conditions across FDP member federal agencies
FDP Institutional Clearinghouse website
o Institutes can certify their institutional compliance with Public Health Services (PHS) Financial Conflict of Interest (FCOI) requirements
o Central location for education institutions and other entities to document they are in compliance with the PHS FCOI rules and regulations
o Can view a list of agencies using the PHS FCOI regulations – important to know what other organization use it
SBIR
Small Business Innovation Research program is a highly competitive program that encourages small businesses to engage in Federal Research/Research and Development (R/R&D) with the potential for commercialization
STTR
Small Business Technology Transfer program is a highly competitive program that encourages small businesses to engage in Federal Research/Research and Development (R/R&D) with the potential for commercialization
Central to the STTR program is the partnership between small businesses and nonprofit research institutions. The STTR program requires the small business to formally collaborate with a research institution in Phase I and Phase II. STTR’s most important role is to bridge the gap between performance of basic science and commercialization of resulting innovations.
SBIR / STTR Mission
The mission of the SBIR/STTR programs is to support scientific excellence and technological innovation through the investment of Federal research funds in critical American priorities to build a strong national economy.
The program’s goals are to:
- Stimulate technological innovation.
- Meet Federal research and development needs.
- Foster and encourage participation in innovation and entrepreneurship by women and socially or economically disadvantaged persons.
- Increase private-sector commercialization of innovations derived from Federal research and development funding.
In addition, the STTR program aims to:
- Foster technology transfer through cooperative R&D between small businesses and research institutions.
Three phases of SBIR/STTR
Phase I. The objective of Phase I is to establish the technical merit, feasibility, and commercial potential of the proposed R/R&D efforts and to determine the quality of performance of the small business awardee organization prior to providing further Federal support in Phase II. SBIR/STTR Phase I awards are generally $50,000 - $250,000 for 6 months (SBIR) or 1 year (STTR).
Phase II. The objective of Phase II is to continue the R/R&D efforts initiated in Phase I. Funding is based on the results achieved in Phase I and the scientific and technical merit and commercial potential of the project proposed in Phase II. Typically, only Phase I awardees are eligible for a Phase II award. SBIR/STTR Phase II awards are generally $750,000 for 2 years.
Phase III. The objective of Phase III, where appropriate, is for the small business to pursue commercialization objectives resulting from the Phase I/II R/R&D activities. The SBIR/STTR programs do not fund Phase III. At some Federal agencies, Phase III may involve follow-on non-SBIR/STTR funded R&D or production contracts for products, processes or services intended for use by the U.S. Government.
11 Federal Departments and agencies that are required to reserve a portion of their R&D funds for SBIR program
Dept of Agriculture (USDA) Dept of Commerce Dept of Defense (DOD) Dept of Education (ED) Dept of Energy (DOE) Dept of Health & Human Services (DHHS) Dept of Homeland Security (DHS) Dept of Transportation (DOT) Environmental Protection Agency (EPA) National Aeronautics & Space Administration (NASA) National Science Foundation (NSF)
5 Federal Departments and agencies that are required to reserve a portion of their R&D funds for STTR program
Dept. of Defense (DoD) Dept. of Energy (DOE) Dept. of Health and Human Services (HHS) National Aeronautics & Space Administration (NASA) National Science Foundation (NSF)
SBIR Three-phase program
Different funding limits and levels of University involvement
o PI Employed by Small Business (SMB takes the lead)
o Phase I (Concept Development)
- Awards generally up to $250K
- Approx. 6 months in length
- SBC (small biz) must perform at least 2/3 of R&D work if a University is involved
o Phase II (Prototype Development)
- Awards generally $750K
- As long as 2 years in length
- SBC must perform at least ½ of the R&D work if a Uni. Is involved
o Phase III (Marketplace or Commercialization)
- No Uni. Involvement at this phase
- Objective is for the Small biz to pursue (with non-SBIR or STTR funds) the commercialization of the results of the research conducted in Phases I & II
STTR Three-phase program
Different funding limits and levels of University involvement
o PI employed by Small Business or other entity
o Phase I (Concept Development)
- Awards generally up to $250K
- Approx. 1 year in length
- Requires that the small biz perform at least 40% of the R&D and the single partnering research institution to perform at least 30% of the R&D
o Phase II (Prototype Development)
- Awards generally up to $750K
- As long as 2 years in length
- Requires that the Small Biz perform at least 40% of the R&D and the single partnering research institution to perform at least 30% of the R&D
o Phase III (Marketplace or Commercialization)
- No University involvement in this phase
- Small Business pursues this using funding other than STTR
3 main ways STTR differs from SBIR:
1) STTR requires small business awardee and its partnering institution to establish an intellectual property agreement detailing the allocation of intellectual property rights and rights to carry out follow-on research, development or commercialization activities
2) STTR requires that the small business perform at least 40% of the R&D and a single partnering institution (i.e. university) perform at least 30% of the R&D. SBIR does not require a university to be involved.
3) The STTR program allows the PI to be primarily employed by the partnering research institution (not allowed in SBIR unless a waiver is granted by the agency
Other differences:
- Phase 1 length (SBIR is 6 months, STTR is 1 year)
- 11 fed agencies do SBIR, 5 fed agencies to STTR
Section 200.204 of the Office of Management and Budget (OMB) uniform guidance
Agency Review
Requires federal awarding agencies to “design and execute a merit review process for applications.” Further, the review process must be discussed in the funding opportunity announcement.
Section 200.205 of uniform guidance
Agency Risk Assessment
Mandates that federal awarding agencies, prior to making awards, must review the risk posed by an applicant.
Three sources used for risk assessment:
1) Federal Awardee Performance and Integrity System (FAPIIS) - fed database about prior performance of procurement contractors, grantees, cooperative agreement holders
2) DUNS - commercial credit, reports on business
3) Do not pay lists
Agency Risk Assessment - 5 areas reviewed
1) Financial stability
2) Quality management systems
3) History of performance
4) Reports and findings from audit reports
5) Ability to effective implement statutory, regulatory and other requiremetns
Cost Analysis
Cost principles are included in Subpart E of the uniform guidance.
Cost analysts focus heavily on
> concerns about consistent charging practices,
> costs that are comparable to those incurred by the institution and similarly situated organizations,
> and costs that are commensurate with the nature of the work to be accomplished.
Section 2 CFR §§200.302-305 of uniform guidance
Financial Management
Section 2 CFR §§200.317-326 and Appendix II of uniform guidance
Procurement
Section 2 CFR §§200.330-332 of uniform guidance
Subrecipient and Subrecipient Monitoring
Section 2 CFR §§200.310-316 and §200.329
Property Management
FAIN
Federal Award Identification Number
Special Provisions
High Risk Recipients
- History of poor performance
- Grants management system doesn’t meet uniform guidance requirements
- Financial instability
DHHS Agencies (11)
Falling under Public Health Service…
- NIH
- CDC
- FDA
- HRSA
- AHRQ
- SAMHSA
- Indian Health Service
- Agency for Toxic Substances and Disease Registry (ATSDR)
Human Services Agencies (not falling under PHS)
- Administration for Children and Families (ACF)
- Administration for Community Living (ACL)
- Centers for Medicare and Medicaid Services (CMS)
Applicable to grants and cooperative agreements only. A project approved for multiple-year funding, although funds are typically committed only one year at a time. At the end of the initial project period, progress report is assessed. If satisfactory, an award is made for another budget period subject to availability of funds.
Continuation Project (non competing)
A procurement contract is used for the purpose of…
Acquisition of property and services
200.203
Notices of Funding Opportunities
Federal Sponsor Appeals
Dispute: Challenge of final decisions on termination, allowability and withholding support
Stages of Resolution: appealable decision, informal review, formal review, court
Administrative Dispute Resolution Act: allows for mediation and arbitration
3 types of service centers
- specialized service facility
- recharge activities
- service facility (all that don’t fall under above)
Federal Demonstration Partnership (FDP)
Purpose - reduce administrative burden associated w grants and contacts
- FDP simplifies and streamlined terms and conditions across FDP member agencies
3 components of research misconduct
- fabrication
- falsification
- plagiarism
PHS “promoting objectivity in research”
- what does it cover?
- what does it require from investigators
- applies to PHS funded research
- requires PHS funded investigators to be trained every 4 years on COI
- requires investigators to disclose SFI annually and within 30 days of new SFI
Standard close out period
90 days on most federal awards
120 days for NIH
Contracting Officer
- on what funding opps do they work?
- what is their role?
- gov contact for contracts
- authorized by gov to issue awards and modifications
- may legally bind the gov
Contracting Officer Technical Representative
- what funding opps do they work on?
- what is their role?
- work on gov contracts
- appointed by CO to monitor technical performance and progress
- review and approve deliverables
- review and approve invoices
- limited authority a cannot legally bind government
- gov or sponsor issues, PI responds
- RFP, RFA, RFQ, BAA
Solicited proposal
- oversees research involving recombinant or synthetic nucleic acid molecules
- 5 members
Institutional Biosafety Committee (IBC)
FAIN
Federal award identification number
FAC
Federal audit clearinghouse
FAR
- Federal acquisition regulations
- governs fed contracts
- includes specific clauses for universities, NPOs
- dept of defense (DFARS), DOE, dept of education all have own FARs
Material transfer agreement
Binding contract that covers transfer of incoming and outgoing research materials
Uniform biological material transfer agreement
StAndardized approach for certain transfers between academic institutions
DS2
- Disclosure Statement
- Discloses cost accounting practices for measuring, assigning and allocating costs and clarifies cost accounting practices
- required for NFE that receives more than $50M in federal awards annually
A systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge
Fundamental Research
