Research partnership & Funding (25%) Flashcards
Which is considered a federal award?
- Subaward
- Vendor
- Consultant
- Subaward
In which case is performance measured against objectives of the federal program?
- Subaward
- Vendor
- Consultant
- Subaward
Which is responsible for programmatic decision making?
- Subaward
- Vendor
- Consultant
- Subaward
Which must adhere to applicable federal program compliance requirements?
- Subaward
- Vendor
- Consultant
- Subaward
Which is subject to audit under du part F?
- Subaward
- Vendor
- Consultant
- Subaward
Which is payment for goods and services?
- Subaward
- Vendor
- Consultant
- Vendor
Which is a payment for service?
- Subaward
- Vendor
- Consultant
- Consultant
What 3 factors (degrees of control) does the IRS look at in determining independent contractors versus subawards?
Behavioral control
Financial control
Type of relationship
Basic and applied research for the benefit of the public. Grant or contact?
Grant
Which is more flexible, less restrictive, and easier to administer? Grant or procurement contract?
Grant
Is a grant subject to the FAR?
No - that’s for procurement contracts
What’s different about a government contract over a grant?
- More control over dissemination & scope.
- May include sensitive information.
- From congressional appropriated funds - only available for the year they are appropriated. (Carryover issues)
- Subject to FAR
- Benefits the government rather than the public
Other Transactional Authority Agreement (OTA)
- Used to be just DOD, now it’s expanded
- Typically related to weapons systems or services related to weapons systems
What’s the difference between a traditional and non-traditional OTA?
Traditional receives frequent DOD contracts and OTAs and is fully subject to federal cost accounting standards and must provide certified cost and pricing data
Non-traditional have not received an OTA within the past year and are not fully subject to federal cost accounting standards and must provide certified cost and pricing data
OTAs are defined by what they are not … eg (3 things)
- Not procurement contracts, grants, or cooperative agreements
- Not subject to the federal laws and regulations that apply to government procurement contracts (FAR and DARS)
- No specific competitive procedures are prescribed by law and sole source OTAs may be permitted
DoD frequently requires OTA holders to join a consortium - true or false?
True!
- OTA consortiums are limited to specific areas of research or prototyping activities
- A consortium pool provides tremendous speed, flexibility, and access to the broadest possible pool of vendors
- From Issing a white paper to award can take on average, less than 2 months
Which type of contract is riskier for the contractor- cost reimbursable (AKA cost contract) or fixed fee?
Fixed fee - because there is no opportunity to talk about exasperated expenses - but are expected to complete the work as promised no matter actual expenses
What is an Indefinite Delivery Indefinite Quantity agreement (IDIQ)?
A master agreement - when a set quantity of goods or services are needed, but not known or quantified (although there can be minimum and maximums). Sponsor issues talk orders under the IDIQ
What is a time and materials contract and is it appropriate for a university?
Very similar to cost reimbursable, it allows a sponsor to acquire supplies or services based on specific labor hours and actual material costs. No - because universities do not track hours with an hourly time-keeping system, it’s not possible to report and certify hours on an invoice. (We report effort, we do not certify hours)
What is cost plus fixed fee for and is it good for universities?
A great mechanism for a for-profit sponsor or contractor. But no because universities don’t connect profit or charge frees.
Prefer cost reimbursable
What is FAR?
Federal acquisition Regulation
Implemented by Congress
Title 48 of the code of federal regulations
Every federal organization is subject to FAR. They can issue their own regulations- can only supplement not contradict the FAR
What is in chapter 1 of the FAR?
The Basic FAR
What is in chapter 2 of the FAR?
Specific agency supplements
(Most common is DOD DFARS)
What is in part 52 of the FAR?
The clauses
What is in part 53 of the FAR?
Sample government forms
What is in parts 1-51 of the FAR?
Prescriptions
What is OMB A-102
Guidelines for uniformity amoung federal agencies in regard to management of grants and cooperative agreements with state, local, and tribal governments
What is OMB A-133
Audit and compliance requirements extended to institutions of higher education and other non- profits
What is 2 CFR 215?
Uniform administrative requirements for grants and agreements with institutions of higher Ed, hospitals, and other non-profits
What is 2 CFR 220?
Principles for determining costs applicable to grants, contracts, and other agreements with educational institutions
What is 2 CFR 230?
Establishes principles for determining costs of grants, contracts, and other agreements with non-profit organizations - procurement (A-122)
What is 2 CFR 225?
I think this has to do with IDC?
What is fedconnect?
Online marketplace where federal agencies post opportunities and create awards
What is proposal central?
A web based grant management service for proposal submission and review. Users include American Cancer Society and the American Lung association
What is the Data Universal Number System (DUNS) number used for? What has it been replaced with?
Business credit reporting. Replaced with UEI (Unique Entity Identifier)
What is the EIN for?
Used by the IRS for tax identification purposes
Na
What is a training agreement? What do they typically include?
Legally binding agreement between parties that are joining together to propose a new cooperative proposal to a sponsor
Company may request that partnership is exclusive to members and specific RFP
Typically include:
- specific RFP reference
- objective for each member of the team
Proposal to be generated by the team
- actions and deliverables required from each party
Program announcements (PA) are for what type of agreement?
Grants
Requests for Application (RFA) are for what type of agreement?
Grant
Broad Agency Announcements (BAA) are for what type of agreement?
Grants or cooperative agreements
Requests for Proposal (RFP) are for what type of agreement?
Contracts
Requests for Quote ((RFQ) are for what type of agreement?
Contract
Notices ((NOT) are for what type of agreement?
Grant or contact
How many summer stipend applications does NEH allow?
Two
What is EPSCOR and what are the limitations?
NSF - Established Program to Stimulate Competitive Research. Created to fund national areas that have historically received less financial support through R&D funding
Limited to jurisdictions that receive 0.75 or less of total NSF research funds over a 3 year period
What is an Assistance Living Number (ALN)?
Formerly the Catalog of Federal Domestic Assistance (CFDA)
Which agencies use Fedconnect?
USDA
DOE
Dept of Interior
Dept of homeland security
EPA
What access does the Federal Register provide?
- Federal laws
- Presidential documents
- Administrative Regulations and Notices (proposed, interim, and final)
- descriptions of federal organizations, programs and activities
FedBizOpps.gov - what’s it for? What’s the threshold? And can you apply through the portal?
Single point of entry for federal procurement opportunities
> $25,000
No - cannot apply through site
Define these types of research (discrete, specific, circumscribed project):
- Basic
- Developmental
- Exploratory
- Applied
- Basic - increase understanding of fundamental principles
- Developmental - studying and improving processes
- Exploratory - studying a Problem not clearly defined
- Applied - practical applications of research results
Is cost match required for NSF MRI?
Only for Phd granting institutions. 30%
What are the NIH program grants and what are they for?
P01 - group with different areas of expertise pooling their knowledge / resources
P50/60 - multidisciplinary, may focus on an area of science rather than a specific goal, individual investigators direct the project and cores
Is the NSF CAREER grant limited by time from degree or # of years in a tenure track position?
No
Mentored Career Scientist (k) Award
- FTE effort requirement
- F&A limit
9 person months (75% FTE
8% MTDC limit on IDC
What are the NSF and NIH pilot/seed grants?
-NIH small grant R03
- NIH exploratory / Developmental Research Grant R21
- NSF Early-concept Grants for Exploratory Research (EAGER)
What are the 6 branches of the Grants Regulatory Framework?
- Statutory Requirements
- Federal Acquisition Regulations
- Agency Regulations and Guidance
- Code of Federal Regulations
- federal Budget Development
- America COMPETES ACT
Steps of the federal budget process:
- President
- Agency
- Budget Conference Committees
- Appropriations Committees
- Congressional vote
In the Federal Appropriations - what is discretionary and what is mandatory?
Discretionary: research, training, service related
Mandatory: block & formula
What fired the federal budget appropriations do?
Legislative action to provide funding for federal programs
What is the anti-deficiency act?
Prohibits obligation of funds in excess of appropriation
What does the Congressionally Directed Medical Research Programs (CDMRP) do? Which agency?
DOD
Research on breast, prostate, and ovarian cancer, neurofibramatosis, military health, etc
Development of regulations
Per Administrative Procedures Act
- interim rule
- proposal final rule
- final rule
Incorporated into CFR (annually)
Post award Administrative requirements are CFR subpart …
D
Cost principles are CFR Subpart …
E
Audits are CFR subpart …
F
Pre award Administrative requirements are CFR subpart …
C
Acronyms & definitions are CFR subpart …
A
General requirements are CFR subpart …
B
What is the FAR?
Federal acquisition regulations
- to provide uniform policies and procedures for acquisition by the federal government
- part 52 includes standard subcontract clauses and solicitation provisions
- agency supplements place further requirements on contractors (DFAR)
What FAR classes are included in a contract?
- purpose (service, goods, construction)
- nature of contractor (state, for-profit, non-Priti, educational)
- financing method (fixed price, cost reimbursable, time & materials)
What is the NIH salary cap?
$212,100 - per Federal Executive Level II payscale
Which 4 agencies fall under v the Department of Health and Human Services?
- Health Resources and Services Administration (HRSA)
- NIH
- FDA
- Agency for Healthcare Research and Quality (AHRQ)
Which 4 federal offices fall under the Department of Defense (DOD)
- Office of Naval Research (ONR)
- Airforce office of scientific research (AFSOR)
- Army Research Office (ARO)
- Defense Advanced Research Projects (DARPA)
Which 3 departments fall under the Department of Homeland Security?
- US Coast Guard
- Science and Technology Directorate
- Federal Emergency Management Agency
What do the DOT, USDA, DOc, and Smithsonian have in common?
All federally funded executive departments
What are the 4 independent federal grant agencies?
NASA
NSF
USAID
NEH
What are 4 state and local sponsors that are often funded through a federal pass-through?
Dept of labor
Dept of transportation
Environmental protection agency
Health & human services
What are 4 common characteristics of proposals submitted to industry sponsors?
- Usual not a formal application process or deadline
- Typically do not include industry matching
- Projects tend to evolve through informal networking or prior contacts
- Sponsor may want more control over how research is conducted and how results are utilized
What is an identification of interval capacity for?
- Assess unique institutional capabilities (renovations or modifications, export control issues, IP and ownership issues)
- animal research facilities (sufficient to house required animals)
- specialized facilities / central services (recharge centers - offer services or products for a fee)
- availability of institutional match funds
5 types of public disclosures
- COI
- Freedom of Information Act (FOIA)
- State public disclosure laws
- Research misconduct
- OSHA chemical hygiene
What are the elements of the State Public Records Law?
- open records / open meetings
- record retention requirements
- common format: American Standard Code for Information Interchange (ASCII)
- exceptions: military, juvenile, PII, Corrections
When must a financial conflict of interest be reported?
- payments or ownership of $5,000 or more (NIH), or $10,000 or more NSF from a public or private corporation
- any royalty income from intellectual property
- any travel paid by a non-granting agency
What is the process for research misconduct?
- Credible allegations of research misconduct trigger reporting requirements
- After preliminary assessment; prior to formal inquiry
- Notification to the office of research integrity and individual sponsors (early termination, request for extension, final determination)
What must employees be provided with as part of the OSHA chemical hygiene plan?
- copy of the plan
- list of hazardous materials on site (MSDS) (must also be given to state & local response committees as well as first responders)
- info regarding safe exposure levels
What sponsor documentation requires are there for subawards?
- strategy of intent to collaborate
- statement of work
- period of performance
- budget & budget justification
- institutional signature
- evidence of cost sharing commitment if applicable
When is a mentoring plan required by NSF?
When there is a post-doc
When does NIH require responsible Conduct of research training?
Only for career development awards
Which agency requires a multiple PI Leadership plan?
NIH
When is an NIH date sharing plan required?
When over $500k a year?
What is the USDA limit on F&A?
30% of total federal funds
How long should unfounded proposals be retained?
2 years
How long should non-grant research records be retained?
Final narrativere reports - PERMANENT
All other records - 5 years after submission of final report
How long should research grant records be retained?
Final narrativere reports - PERMANENT
All other records - 7 years after submission of final report?
How long should records be retained per 2 CFR 200.333 and FAR?
3 years from date of submission of final financial report
What portal does the Department of Health and Human Services use?
Grants.gov
What is NIH’s resubmission policy?
- must address changes made
- allows 1 resubmission to the same program
- can submit as “new” if changing programs
What is the pubmed central reference number?
PmID Unique identifier assigned to each article when it enters the pubmed system. Needed in citations on proposals and reports
Allowable costs should be …
2 CFR 200
Allocable
Reasonable
Allowable
Consistently applied
What are the 4 Types of F&A?
Salary & wage
Total direct costs
Modified total direct costs
De minimus
What’s the process for developing an F&A rate?
- Prepared under guidelines of 2CFR subpart E
- Institution prepares a cost proposal
- Conducts a space survey to assign space to functional categories
- Determine which units are indirect (administrative)
- Determine which services are allowable and allocable to federal grants and contracts per application cost principles
- Cognizant agent reviews and determined final rate
How do I figure out the total direct costs of a budget when I have the IDC rate?
Divide number by 1.x
eg 60% IDC
Number / 1.6 = TDC
What is a modified peer review?
Includes non-peers in the expert group
What does the Bath-Dole Act do?
- uniform policy for listening rights for patentable inventions discovered in federally funded research
- defined IP that is convinced or first actually reduced to practice in performance of grant or contract
- gives grantee first right to title of IP
- funding agency receives a non-exclusive, non-transferable, irrevocable, paid up license to practice IP
What is the dollar threshold at which a debarment and suspension certification is required?
Applicable to all agreements in excess of $100,000
What is ITAR?
Export Control:
International Traffic in Arms regulations. uS department of state. Governs the export of information related to military, weapons and space related items and services
What is EAR?
Export Control:
Export Administration Regulations - US department of commerce
- controls export or transfer of “dual use” items
- prohibits US participation in certain restrictive trade practices/foreign boycotts
What is OFAC?
Export Control:
Office of Foreign Assets Control - US department of treasury
- enforces US embargoes and sanctions programs
What is the requirement for an Institutional Biosafety Committee (IBC) for recombinant DNA?
- at least 5 members with executive and expertise in recombinant DNA technology and the capability to assess the safety of recombinant DNA activities
- at least 2 members not affiliated with the institution and representing community interests
What are NIH RCR requirements?
- institutions require form and content - but requires substantial Face-to-face discussions
- applies to all NIH training, Career development, research education, and dissertation research
- new (type 1) applications must include RCR, renewals (type 2) must describe changes in formal instruction over past year and plan to address weaknesses
What special eligibility criteria apply to the NIH K99/R00 program?
- foreign nationals with the necessary skills, knowledge, and resources can apply
- applicants must not have more that 4 years of postdoctoral training (one year extension is applicable due to birth of child)
- recipients must be mentioned for at least 12 months before transitioning to the R00 phase
How often should RCR training take place?
Once during each career stage and at least once every 4 years
What are the PI and time commitments for STTR and SBIR grants ?
PI:
- STTR - can be primarily employed by either the small business or the collaborating university
- SBIR - must be primarily employed by small business
Time:
- STTR - PI must devote 10% of time
- SBIR - business PI must devote 40%, research institute PI must devote 30% effort
What is an NIH fast track application?
Expedited process by which especially meritorious applicants can apply for SBIR or STTR phase 1 and Phase 2 applications together for simultaneous review
