what's in a name? whether 'tis nobler to be a gift, grant, or contract csilla m. csaplár...

What's in a Name? Whether 'tis Nobler to be a Gift, Grant, or Contract

Csilla M. CsaplárDepartment Manager, Geophysics

Stanford University

Linda W. PattonDirector, Extramural Funding Opportunities

California State University, Fullerton

Agenda

NCURA 54th Annual Meeting * November 4-7, 2012 * Washington, DC

Definitions of Selected Award Instruments Gifts Grants Cooperative Agreements Contracts Subcontracts and Subawards

Key Differences/Characteristics Resources Sample Scenarios Q&A

Gifts

Purpose: Funds may be used for “general” departmental or research support, or “specific/restrictive purpose” e.g., endowed professorship, student research scholarship in a specific discipline, capital projects. Funding is contributed to the institution with no expected benefit to the contributor/donor.

Sponsor Type: Typically private, non-governmental types e.g., private foundations, corporations, professional societies or associations, individuals)

Who Manages it?: Typically advancement/development office or institution’s philanthropic foundation, rather than sponsored programs

Sponsor involvement: Minimal


Gifts, continued

Characteristics: Short award letter, typically only 1-2 pages No contractual obligation, e.g., deliverables Involves no exchange transaction other than recognition of donor, unless donor requests

anonymity The term “gift” is frequently used interchangeably with “grant” – be careful! Given voluntarily, a gift is an irrevocable transfer of funds, services, or property, with no

expectation of benefit, goods, or services from the recipient No specified funding period No required fiscal or performance reporting, however attentive stewardship is highly

recommended Unrestricted use of funds (no unallowable costs) Institution owns all rights, if applicable Does not include consideration for legal accountability, e.g., indemnification Recognized by IRS as a charitable contribution


Grants

Purpose: Monetary assistance award to fulfill a specified institutional or public need

Proposes specific scope of work Project often supports furtherance of knowledge in a specific area or field of

interest Typically derived from a Request For Proposal (RFP) solicitation (or

sometimes an unsolicited proposal with specified expectations) to satisfy identified grantor needs

Sponsor Type: Government agency, foundation, private organization

Sponsor Involvement: Generally period specific reports regarding financial and programmatic accomplishments; minimal, if any, role in the performance of grant activities


Grants, continued

Characteristics of a grant award: General research terms and conditions, usually flexible Typically required quarterly, annual or summary reporting

–technical/programmatic & financial No final deliverables except final report of research/project findings and results

or achievement of programmatic outcomes Sponsor usually allows for rebudgeting Includes accountability under the terms of A-21 and A-110 Deviation from the approved plan of operation and/or budget typically requires

sponsor’s prior approval Funds may be provided upfront or on a cost-reimbursable basis Sponsor may require unexpended funds to be returned or grant a no-cost

extension Institution (Awardee) usually owns all rights


Grants, continued

Principal Investigator’s (PI) or Project Director’s/Manager’s (PD/PM) Role on behalf of the University (official awardee):

Is responsible for overall day to day project direction and oversight in the conduct of program/project performance

defines scope of work, period of performance, and budget, in consultation with Sponsor

Is responsible for adhering to all award terms and conditions


Cooperative Agreements

Purpose: Assistance award, but usually to fulfill a public purpose (rather than institutional)

Sponsor Type: Government agency, foundation, private organization

Sponsor involvement: Sponsor is significantly involved in award terms and research direction


Cooperative Agreements, cont.

Institution is usually solicited by sponsor, and then institution submits application to sponsor for consideration. (RFA)

PI develops the scope of work with input from the sponsor. Period of performance and budget are jointly developed by Sponsor and PI. PI is responsible for project direction and oversight, but Sponsor is substantially involved.


Cooperative Agreements

What does the award look like? Includes terms and conditions, and defines the responsibilities of

both Sponsor and Institution May require more frequent technical reporting, but financial

reporting typically still annual or quarterly Final deliverable typically final report of research/project findings,

results, or outcomes Sponsor sometimes allows for rebudgeting Funds typically provided on a cost-reimbursable basis Sponsor will likely require unexpended funds to be returned Sponsor may want patentable rights; if applicable, negotiate rights

prior to funding


Contracts

Purpose: Procurement award, given to Institution so Sponsor can procure a specific service or product

Sponsor: Typically government agency or private corporation

Sponsor involvement: Sponsor provides project direction and oversight


Contracts, continued

Sponsor solicits responses, and then Institution submits bid or proposal to sponsor for consideration. (RFP, RFQ, BAA)

Sponsor develops the scope of work, project direction, and period of performance. Institution proposed budget, methodology, expertise, and resources to achieve Sponsor’s scope of work.



What does the award look like? Detailed terms and conditions, includes regulations, required or

negotiated clauses, and expectations for required deliverables Requires frequent and detailed reporting (both technical and

financial, usually also requires patent and property) Institution is required to provide a product or service as final

deliverable Sponsor requires prior approval for rebudgeting Funds typically provided upon completion of milestones Sponsor will likely retain most or all rights Sponsor may require prior review or approval of publications



Contract terms are complex and rigorous – review carefully to ensure that your Institution and PI can comply.

Institutions can request alternate clauses that apply specifically to their institution type or to Research & Development work (more aligned with the types of work that we do).


Subcontracts, Subgrants, Subagreements

Refers to agreements for funding to your Institution, where your Institution is not the primary award recipient.

Terminology: Depending on the prime award funding type, these agreements may be called “subcontracts,” “subagreements, “or “subgrants.” The terms and conditions outlined in the agreement determine the institution’s responsibilities.

“When an institution provides project funding to outside entities to accomplish a portion of the scope of work, it takes on the role

and responsibility of the sponsoring agency in terms of oversight given to the subrecipient.”

Research Administration and Management, pg. 52, Kulakowski & Chronister.


Subcontracts, continued

Each Institution has its own PI who is responsible for the scope and direction of work being conducted at his/her institution.

Usually easy to work with like institutions (e.g., university to university). Can be more difficult when working with other types of institutions (e.g., for-profit to university).


Subcontracts, continued

Flexibility of project direction and terms and conditions are determined by the type of prime award. When the prime award is a grant, subcontract terms are generally flexible and collegial. When the prime award is a contract, subcontract terms are often far more restrictive (often including the flowdown of contracts regulations & duties from the Federal Acquisition Regulations, aka FAR).


Subawards

Subawards are initiated when your Institution receives an award, and a portion of the scope of work needs to be accomplished by another entity. The other entity (the subrecipient) is participating in a research scope, but is not the primary award recipient.

DOD (sponsor) Portland State (prime recipient) Stanford (subrecipient)

As a subrecipient, your Institution is also subject to the terms and conditions of the prime award. The prime award recipient is responsible for flowing down appropriate terms.


Subawards, continued

Prime Recipient is responsible for: Ensuring the Subrecipient’s scope of work (SOW) is completed

according to agreement terms Monitoring Subrecipient’s compliance with the flowdown provisions Ensuring Subrecipient is not debarred or suspendedSubrecipient PI is responsible for: Technical direction of Subrecipient’s scope of work Meeting compliance requirements Spending funding within the limits of the award Submitting timely, accurate invoices Keeping accurate accounting/documentation


Other Agreements

Clinical Trial agreements Vendor agreements Master agreements Data Use agreements Material Transfer agreements Consulting agreements

All of the above agreement types are typically funded as contracts.


What is it?

Consider this scenario…

Dr. Voltaic received $25,000 for solar cell research from the GreenRoof Foundation. There are no terms and conditions attached. Dr. Voltaic needs to provide the GreenRoof Foundation a programmatic progress report every six months.

Is this a gift or grant? What considerations need to be made if a gift requires

periodic progress and financial reports?


What is it?

Consider this scenario….

Your new VP for Advancement announces at a Deans’ and Directors’ meeting that he has a commitment for a $25M Gift-Grant to endow a research lab which would exclusively conduct research on the disease that is threatening the life of his recently diagnosed granddaughter.


Resources

Stanford’s Research Policy Handbook guidance on types of funding: http://rph.stanford.edu/3-2.html

Research.gov: http://www.research.gov(check out the policy library!)

FDP Templates for Subawards: http://sites.nationalacademies.org/PGA/fdp/PGA_063626

NIH Guide for Grants and Contracts: http://grants.nih.gov/grants/guide/index.html


http://rph.stanford.edu/3-2.html

http://www.research.gov/

http://sites.nationalacademies.org/PGA/fdp/PGA_063626

http://grants.nih.gov/grants/guide/index.html

Resources, continued

Gift vs. Grant Checklist

Check out Stanford’s determination form…


Resources, continued

Vendor vs. Subaward Determination


Questions?

For further questions, please feel free to contact us:

Csilla M. Csaplár(650) 498-6877

[email protected]

Linda W. Patton(657) 278-3160

[email protected] 54th Annual Meeting * November 4-7, 2012 * Washington, DC

what's in a name? whether 'tis nobler to be a gift, grant, or contract csilla m. csaplár...

Documents

dc slide

annual meeting

grant award

fullerton slide

sponsor type

gifts purpose

minimal ncura

grants purpose