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Navigating the Award

Navigating the Award. Kim Hayes Michael Lenetsky. Types of Awards Above / Below the Line Foundation Relations Non-Monetary Agreements Non Disclosure Agreements Material Transfer Agreements Restricted Data Set Access Agreements. Navigating the Award - Overview. Gift, Grant or Contract

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Navigating the Award

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  1. Navigating the Award Kim Hayes Michael Lenetsky

  2. Types of Awards Above / Below the Line Foundation Relations Non-Monetary Agreements Non Disclosure Agreements Material Transfer Agreements Restricted Data Set Access Agreements Navigating the Award - Overview

  3. Gift, Grant or Contract Issue is whether assistance, procurement or type of donation Can lead you to SPS or to Development Questions on categorizations Restricted or Unrestricted Above the Line or Below the Line Types of Awards

  4. In general the following criteria identifies a gift: No contractual requirements Award is irrevocable No defined period of performance No formal financial accounting required Not from a government entity Gifts

  5. Gifts may Be restricted to specific person or purpose Request report describing use, utilization or impact of gift Gifts (continued)

  6. Important to note Contract is both term of art and a legal document Grants, Cooperative Agreements and “Contracts” are all legally binding documents that fit under the umbrella of contracts Grants and Contracts

  7. Used in a relationship when: Accomplish a public purpose of support Little involvement between sponsor and recipient is anticipated Deliverables are minimal Grant (Assistance Action)

  8. In general the following criteria identify a grant: Specific budget w/restrictions Specific goals/objectives (Scope of Work) PI responsible for completion of effort Period of performance Authority to withhold funds Return of unused funds Grants (continued)

  9. Criteria of Grants (continued) Formal financial accounting Formal reporting on efforts, effects of work, etc. Copies of published materials Acknowledge of Support Unilateral Agreements FDP agreements are grants Grants (continued)

  10. Used in a relationship between the Sponsor and Recipient when: Need to support public purpose Substantial interaction between Sponsor and Recipient is anticipated Cooperative Agreement

  11. Used in relationship between the Sponsor and Recipient when: Goal of relationship is to acquire property or services for the direct benefit or use of the Sponsor Contracts (Procurement Action)

  12. In general the criteria for identifying a contract (procurement action are): Formal conditions for performance and outcomes Not unilateral agreement Publication restrictions Intellectual Property Conveyance of tangible property Contracts (continued)

  13. General criteria (continued): Conveyance of intangible property rights Strict restrictions on financial spending Frequent reports Ability to stop work on short notice Contracts (continued)

  14. Payment terms further define Awards: Cost Reimbursement Most common Or Fixed Price Needs to be closely monitored Seldom used Could be costly Payment Terms

  15. Gifts and restricted grants that are accepted without indirect cost recovery factored into the budget, have an impact on the financial condition of the University overall Carry 10% rate instead of typical F&A rate Rate cannot be waived on below the line Impacts Department/PI when Sponsor does not allow charges Above the Line/Below the Line

  16. To be considered Above the Line – Award document must contain one or more of the following requirements: Specified deliverable (report, hardware, software, data, etc.) Sponsor receives rights to intellectual property Sponsor is main beneficiary of work Sponsor has input on performance of effort Note – Government awards are always Above the Line Above/Below the Line(continued)

  17. When Above the Line Full F&A applied unless Sponsor policy applies. F&A can be waived if prohibited by Sponsor in written policy SPS makes determination Above or Below the Line. If sponsor states in Guidelines or Agreement that no overhead can be charged to this grant then the 10% will need to come from other sources Above/Below the Line(continued)

  18. http://www.alumni.cornell.edu/foundations/ Priority Foundations 1st Tier (always Foundation Relations) 2nd Tier (SPS or Foundation Relations) 3rd and 4th Tier (SPS with cc to Foundation Relations) Working with Foundation Relations

  19. MTA (Material Transfer Agreements) NDA (Non-Disclosure Agreements) RDS (Restricted Data Sets) Referred to as non-monetary agreement because no funding is associated with it. Non-Monetary Agreements

  20. The transfer of material coming into Cornell Some types of material are: animals, cells, vector, plants, roots, seeds and trees MTA’s are contracts that cover the transfer of the property (material) from the owner of the property to the user (the researcher) Material Transfer Agreement

  21. Can be complicated Agreements to negotiate Can be very restrictive In use Who can work with the material Ownership Transferring Patents Publications Location Material Transfer Agreement

  22. Can negotiate with same sponsor several times. A sponsor can have different agreements because of restriction on the material AUTM (Association of University Transfer Managers) – UBMTA (Uniform Biological Material Transfer Agreement) – A FREEBIE ! Material Transfer Agreements

  23. Material leaving Cornell is handled through CCTEC (Cornell Center for Technology, Enterprise and Commercialization) – was CRF Caution when transferring material that comes into Cornell through SPS and is transferred out through CCTEC Material Transfer Agreement

  24. A MTA statement is required from the researcher An electronic copy of a sponsor’s MTA is very helpful Documentation when destroying or returning the material Material Transfer Agreement

  25. Contracts that covers the transfer of some intellectual property information (tangible and non-tangible) from the discloser of the information to the recipient of the information Also called “Confidentiality Agreement” or “Secrecy Agreement” Frequently complicated documents to negotiate Non-Disclosure Agreement

  26. Areas of negotiations that can be problematic - Intellectual Property Who can have access to the information Publications Length of time information needs to remaining confidential Non-Disclosure Agreement

  27. A NDA is sometimes necessary before a researcher can have a meeting with a sponsor SPS encourages faculty to try and use our own NDA. No negotiation necessary Non-Disclosure Agreement

  28. A Form 10 is required An electronic copy of the sponsor’s DNA is very helpful Non-Disclosure Agreement

  29. Information that is coming into the University that must be strictly maintained. Often seen in agreements with Dept of Ed and Dept of Census. Protecting information usually about individuals CISER is approved facility for maintaining information. Restricted Data Sets

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