A Guide to Managing Federal Grants for Colleges and Universities
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A Guide to Managing Federal Grants for Colleges and Universities is a comprehensive resource for college and university sponsored research administrators. It is designed to help those responsible for federal fund management on campus perform effectively during one of the most challenging periods ever for the field of grants management. In addition to the normal risks that colleges and universities face, OMB grant reforms have changed the way you must handle time and effort reporting, procurement under grants, direct charging certain costs, single audit preparations, subrecipient monitoring, and much more.

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Pub code: GRA

ISBN: 0-929156-25-0

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Managing Federal Grants provides the practical information grants managers need — on everything from solicitation through audit — to help limit their institution’s risk of disallowed costs and avoid the loss of federal funding and public relations nightmares. As a subscriber to Managing Federal Grants, you’ll receive:

  • Federal Grants News, an informative monthly newsletter that monitors the entire federal grants scene, covering events unfolding in Washington and their likely impact on your institution. Delivered ten times a year to your USPS mailbox, emailed by PDF and archived on the subscriber-only website. Click here to read a free sample issue.
  • 20 sections of expert “hands-on” guidance on every step in the grants cycle — from solicitation through audit (see Contents) housed on the subscriber-only website for convenient 24/7 access. Click here to review a free sample section on Intellectual Property.
  • Federal Agency Daily are Web postings that permit subscribers to track federal grants policy issuances, rulemakings and guidance development — every day of the week — from NIH, NSF, DoD, NASA. OMB, Grants.gov, OIG and numerous other government agencies and offices. Dozens of websites and listservs are scanned by our researchers every day to provide you with those most relevant to grants management on campus, all listed in one place to save you and your staff hours of time and effort. Click here to scan a free posting.
  • Federal Agency Weekly is a weekly email compilation of the prior week’s Federal Agency Daily reports, for those who want to review important government actions weekly, instead of every day. Click here to retrieve a free sample issue.
And this wealth of valuable content — print, email and Web-based — is all updated regularly, well-organized, searchable and available to all employees on the same campus for one subscription price.

Written By

  • Jane Youngers, former Assistant Vice President for Research and Sponsored Programs, University of Texas Health Science Center, San Antonio, was one of the principal authors of the initial narrative sections of A Guide to Managing Federal Grants for Colleges and Universities.

  • The section on “Managing Subrecipient Awards” was written by Gunta J. Liders, University of Rochester. Ms. Linders serves as Editorial Adviser to the monthly newsletter, Federal Grants News.

  • The section on “Facility and Administrative Rates” was co-authored by Patrick Fitzgerald, Harvard University, and Jerry Fife, Vanderbilt University.
  • The section on “Administering International Subawards” was written by David Richardson, The Pennsylvania State University.
  • The section on “Research Contracts” was written by David J. Mayo, California Institute of Technology.

 

Written For

  • Research administrators
  • Sponsored programs directors
  • Business officers
  • Internal auditors
  • Legal counsel
  • Department heads
  • Others involved in managing grants

 

Contents

Section 100: INTRODUCTION

Federal Oversight • Institutional Considerations • The Sponsored Programs Office • Audit and Auditors • The Government-University Partnership

Section 200: FEDERAL AGENCY PROFILES

National Institutes of Health (NIH) • National Science Foundation (NSF) • USDA’s National Institutes of Food and Agriculture • National Aeronautics and Space Administration (NASA) • Department of Energy • Department of Defense

Section 300: DEFINING THE GRANT

Grants vs. Cooperative Agreements • Available Funds • Additional Award Distinctions • Award Instruments and Applicable Regulations • OMB Uniform Guidance's Application to Awards • Regulations Applicable to Procurement Actions • 'Other Transaction' Awards • 2 CFR • Subawards

Section 500: SOLICITATION

Program Announcements • Commercial and Nonprofit Sources • Standards for Program Announcements • Grants.gov Funding Opportunity Data Elements • Financial Assistance Program Announcements • Application Materials

Section 700: APPLICATION

Electronic Proposal Submission • Proposal Components• Proposal Budget • Resources and Facilities • Facilities and Administrative (Indirect) Cost Rates • Certifications and Assurances • Lobbying and Disclosure of Lobbying Activities • Misconduct in Science • Conflict of Interest • Human Subjects Compliance • Use of Animals in Research

Section 900: AGENCY REVIEW AND NEGOTIATION

Scientific and Technical Merit • Preparation and Cost Analysis of Grant Budgets • Grants Management System Review • Financial Capability • Negotiation • 'Expanded Authorities'

Section 1100: AWARD

Authorizing Officials • Standard Provisions • Special Provisions • Interpretation • Government-wide Directives • Regulations • Terms and Conditions of the Award • Order of Precedence

Section 1200: ADMINISTERING INTERNATIONAL SUBAWARDS

Funding for International Collaboration • Institutional Resource Requirements • Foreign Subrecipient Proposals • Pre-Award Assessment • Foreign Cost Differentials • Visits and Visas • The International Subrecipient Agreement • Cost Reimbursement versus Fixed Price • Negotiations • Consultants versus Subrecipients • Post-Award Monitoring • Reporting Requirements • Allowable and Unallowable Costs • Amendments and Modifications • Subrecipient Closeouts • Foreign Financial Compliance Considerations • Foreign Nonfinancial Compliance Considerations • Human Subject Protections • Animal Care and Use • Debarment and Suspension • Export Compliance • Foreign Corrupt Practices Act • Federal Debt Collection Procedure Act of 1990 • Intellectual Property Protection • Combating Trafficking in Persons • Sample Agreements • Reference Materials

Section 1500: PAYMENT AND CASH MANAGEMENT

Payment Mechanisms • Advance • Working Capital Advance • Reimbursement • Cash Management • Cash Depositories

Section 1600: FACILITY AND ADMINISTRATIVE (F&A) RATES

Cost Reimbursement • Cost Accounting Standards and Disclosure Statement • CAS Standards • Direct Costs • F&A (Indirect) Costs • Components of the F&A Rate • Facilities Cost Pools • Administrative Cost Pools • Offset for F&A Expenses • Determination and Application of F&A Rates • Long-Form F&A Rate Process • Simplified (Short-Form) F&A Rate Process • Predetermined Rates • Negotiated Fixed Rates with Carry-Forward Provisions • Provisional Rates • Negotiated Rates • Cognizant Agencies and the Rate Negotiation Process • Cost Sharing • Limitations • 'Recovery' versus 'Recoverable'

Section 1700: POST-AWARD ADMINISTRATION

Costing Issues • Cost Sharing and Matching • Documenting In-Kind Commitments • Faculty Effort as Cost Sharing • Program Income • Incurring Allowable Costs • Cost Allowability • Charging Practices • Departmental Administrative Expenses • Cost Accounting Standards • Cost Transfers • Verification of Personnel Salaries (Effort Reporting) • Prior Approval and Expanded Authorities • Property Management Systems • Inventions Made under Federal Agreements • Availability of Research Data, Reports and Publications • Financial Management Systems • Bonding and Insurance • Procurement Systems

Section 1800: INTELLECTUAL PROPERTY

Patents • Copyright • Software • Trademarks • Other Intellectual Property • Bayh-Dole (Patent Rights) • Rights in Data (Copyrights) • Computer Software • Biomaterials • Protecting Government Rights in Nonfederal Agreements • Agreements with Foundations and Other Nonprofit Organizations • Agreements with Commercial Concerns • Material Transfer Agreements • Consulting Agreements • Commercializing Intellectual Property • Technology Assessments • Licensing Agreements • Confidentiality Agreements • Conflicts of Interest • Intellectual Property Policy • Employee Intellectual Property Assignments

Section 1900: REPORTING

Financial Reporting • Standard Form 425 • Report of Financial Status • Report of Federal Cash Transactions • Standard Form 270, Request for Advance or Reimbursement • Standard Form 271, Outlay Report and Request for Reimbursement for Construction Projects • Performance Reporting • Uniform RPPR • Extraordinary Reporting • Monitoring • Subrecipient Monitoring • Reporting Subawards Under FFATA

Section 2100: CLOSEOUT

Time Constraints • Financial Considerations • Equipment • Residual Inventory of Unused Supplies • Program Income • Record Retention • Retained Property • Audit Rights and Adjustment • Suspension and Termination • Transfer of Investigator

Section 2300: AUDIT

Federal Audit Policy • Inspector General Audits • Identifying OIG Audit Targets • NSF and HHS OIG Audits • Pre-Award Audits • Post-Award Audits • Audits Related to Whistleblowers • The Single Audit • Internal Controls and SAS 112/SAS115 • Public Availability of Single Audits • Institutional Responsibilities • Cost Accounting Standards • DS-2 • Audit Readiness • Internal Controls

Section 2500: AUDIT RESOLUTION

Federal Requirements for Audit Resolution • Audit Standards • Process for Audit Resolution • Audit Findings • Corrective Action Plan • Management Decision • Final Action • Dealing with Adverse Findings • Appeals

Section 2600: MANAGING SUBRECIPIENT AWARDS

The Prime Recipient • The Legal Agreement • FDP Subaward Initiative • The Subrecipient Proposal • Special Requirements for Federal Procurement Contracts • Additional Requirements for STTR/SBIR Proposals • Pre-Award Stage • Awarding Agency/Sponsor Approval • Subrecipient Selection/Competitive Bidding Requirements • Additional Requirements for Federal Procurement Contracts • Subrecipient Agreements • Subagreement Provisions: General Terms and Conditions • Subrecipient Agreements under Federal Grants • Subagreements under Federal Procurement Contracts • Resolving Conflicts/Negotiating • Post-Award Administration • Subcontracting for Multi-Site Clinical Trials • Budget and Administration Guidelines for Subrecipients • Tracking Subrecipient Awards

Section 2700: GRANTS.GOV AND ELECTRONIC RESEARCH ADMINISTRATION

Public Law 106-107 • Research Business Models Subcommittee • Grants Management Line of Business • Federal Demonstration Partnership • Government-wide Topic-Focused Initiatives • iEdison • Small Business Subcontracting • USAspending.gov and FSRS.gov • Grants.gov • Agency-Specific Electronic Initiatives • College and University Initiatives

Section 2800: RESEARCH COMPLIANCE

Institutional Compliance • Federal Grants Compliance • Risk Assessment • Training and Education • Monitoring • Enforcement • Federal Agency Initiatives and Requirements • Research Compliance Issues • Animal Care and Use • The Protection of Human Subjects • Institutional Human Research Participant Protection Program • Institutional Review Board • Informed Consent Requirements • HIPAA Compliance • Registration of Clinical Trials • Financial Conflict of Interest • Federal Regulations • Reporting (Disclosure) Requirements • Identifying Conflicts at Proposal Submission • Managing, Reducing, or Eliminating COI • Reporting to PHS and NSF • Subawards • Monitoring • Enforcement Mechanisms • Institutional COI • University Financial Interests and Human Subjects Research • Misconduct in Science • Export Controls • Biosafety • USA Patriot Act (Pub. L. 107-56) • Public Health Security and Bioterrorism Preparedness and Response Act (Pub. L. 107-18) • Dual Use Research

Section 3000: ADMINISTERING RESEARCH CONTRACTS

Issues for Small Institutions • Contracts at the Proposal Stage • Exceptions • Representations and Certifications • Contracts and the Federal Acquisition Regulation • Fixed-Price vs. Cost-Reimbursement Contracts • Contracts After the Award • Stop-Work Order • Private-Sector Contracts Under Private or Federal Funding • Inventions Under Federal Subcontracts • E-Verify Required Under Federal Contracts • Subaward Reporting Under FFATA • Contractor Data in FAPIIS • Preparing Subcontracts With Federal Funds

Government Documents

  • Uniform Guidance and Related Documents
  • Standard Forms
  • Other Related Materials

 

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