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 anyone involved in managing federal funds. An annual subscription includes:

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Pub code: GRA

ISBN: 0-929156-25-0

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Managing Federal Grants provides the information grants managers need, on everything from solicitation through audit, to help you limit your college or university’s exposure to disallowed costs and avoid loss of federal funding and public relations nightmares. Available on a subscription-only basis, Managing Federal Grants is:

  • 21 sections of reliable, “hands-on” guidance (see Contents) that provides validation for your institution’s decisions, policies and procedures in a wide range of complex areas – and housed in a password-protected website for quick, convenient access. Click here to review a free sample section on Intellectual Property.
  • Packed with practical benefits:
    • Federal Agency Daily web postings that list grants management actions at NIH, NSF, DoD and other agencies, plus news items from a multitude of nooks and crannies in the bureaucracy. Dozens of websites and listservs are scanned and only the most relevant items are listed in one single place – saving you hours of time and effort. Click here to scan a free posting.
    • Federal Agency Weekly – a weekly email compilation of the prior week’s Federal Agency Daily reports. Click here to retrieve your free sample issue.
    • Federal Grants News newsletter that monitors the federal grants scene, covering events unfolding in Washington and their likely impact on your institution. Delivered ten times a year to your mailbox and archived online. Click here to read a free sample issue.
    • Government documents – Dozens of essential government forms and documents relevant to federal grants management are archived on the website for fast searching.
  • Fully searchable to facilitate research
  • Updated with new and revised content regularly
  • Available to all employees on campus – for one low price
  • Peer-based guidance from a top-notch editorial review board

 


Written By

  • Jane Youngers, 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. Ms. Youngers serves as Editorial Adviser to the monthly newsletter, Federal Grants News.

  • The section on “Managing Subrecipient Awards” was written by Gunta J. Liders, Associate VP for Research Administration, University of Rochester.

  • The section on “Facility and Administrative Rates” was co-authored by Patrick Fitzgerald, Associate Dean for Research Administration, Faculty of Arts and Sciences, Harvard University, and Jerry Fife, Associate Vice Chancellor for Business Services and Research Finance, Vanderbilt University.
  • The section on “Administering International Subawards” was written by David Richardson, Associate Vice President for Research and Director of Sponsored Programs at The Pennsylvania State University.
  • The section on “Research Contracts” was written by David J. Mayo, Director of Sponsored Research, California Institute of Technology.

 

Written For

  • Business officers
  • Research administrators
  • Sponsored programs directors
  • 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 Circulars Applicable to All Awards • OMB Circulars Applicable to Financial Assistance Awards • Regulations Applicable to Procurement Actions • 'Other Transaction' Awards • 2 CFR • Subawards

Section 500: SOLICITATION

Program Announcements • Commercial and Nonprofit Sources • Agency 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 • Bloodborne Diseases • 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 • OMB Circular A-110 • 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 • ARRA Reporting • 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 • OMB Circulars A-128 and A-133 • Pre-Award Audits • Post-Award Audits • Audits Related to Whistleblowers • The A-133 Audit • Internal Controls and SAS 112/SAS115 • National Single Audit Sampling Project • Role of the Single Audit Under the Recovery Act • Public Availability of A-133 Audits • Institution Responsibilities • Cost Accounting Standards • CAS DS-2 • CAS Audit Requirements • 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 • International Subawards • 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 • FederalReporting.gov and Recovery.gov • Grants.gov • Finding a Grant • Applying for a Grant: Registration • 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 2900: AMERICAN RECOVERY AND REINVESTMENT ACT: GRANTEE REPORTING AND OTHER OBLIGATIONS

Paying for ARRA Administrative Costs • Reporting Under ARRA-Funded Agreements • Tracking Jobs Created and Retained • Estimating Jobs Impact of Subawards • Submitting Reports • Risks of Noncompliance • Buy American Requirements • Wage Requirements for Facilities’ Projects • Changes to HIPAA Under ARRA • Recovery Act and Grants.gov • ARRA and Single Audits • Protections for Whistleblowers • GAO ARRA Reports

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

  • Administrative Requirements, such as OMB Circular A-110 and various standard forms
  • Cost Policies such as OMB Circular A-21 and related documents
  • Audit-Related Requirements such as OMB Circular A-133
  • Other Related Materials
  • Internet Sites of Interest

 

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