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Translational and Transformative Research and Contract Management. April 20, 2011 Gerberding Hall 142, University of Washington. Speakers. Beth Hacker, Research Navigator ITHS, School of Medicine Lynne Chronister, Asst Vice Provost of Research & Director of Sponsored Programs, OSP.
April 20, 2011
Gerberding Hall 142, University of Washington
Beth Hacker, Research NavigatorITHS, School of Medicine
Lynne Chronister, Asst Vice Provost of Research & Director of Sponsored Programs, OSP
Translational Research and the Institute of Translational Health Sciences (ITHS)
Beth Hacker, Ph.D.
ITHS Research Navigator
of Clinical Translational Science Award sites
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Office of Sponsored Programs
Faculty Brown Bag Series
Friday, April 20, 2012
Contract-supported research has the most stringent performance requirements
Gift-support research has the least stringent performance requirements
Grants are somewhere between contracts and gifts
Note: “Grant” terminology can be misleading and inconsistent. Sometimes, a non-federal grant is really a gift and sometimes it is really a grant.
A gift is a voluntary transfer of something of value from a donor to a donee without consideration.
No quid pro quo– all benefits from a charitable gift accrue to the general public, not to the donor.
Gifts may be either restricted or unrestricted (most gifts are restricted and must be used for the purpose specified by the donor).
Restrictions that provide special benefits to the donor can invalidate a charitable gift.
Grantsare assistance. There is generally some flexibility in scope of work with spending and outcomes unknown. Other than reports, a deliverable is typically not required for grant-supported research, only effort. Federal grants are guided by OMB Circulars A-110 and A-21.
Grants are not benefits or entitlements. A federal grant is an award of financial assistance from a federal agency to carry out a public purpose and is authorized by a law of the United States.
Grant awards are still documented through a contract or other writing with the sponsor, but they are not contract-supported research.
A contract is a legally enforceable agreement between two parties setting forth the parties’ rights and obligations.
A contract requires the assent of legally competent parties.
A contract must be supported by consideration to be enforceable – each party generally ends up with both benefits and burdens.
A contract does not always need to be in writing, but most are.
Federal prime contracts (contracts between the US Government and its contractors) are subject to federal law, including Federal Acquisition Regulations (FAR’s).
FAR’s are typically referenced by numbers.
Industry contracts that are federal flow through are also governed by FAR’s. Other industry contracts are governed by other state laws and codes such as the Uniform Commercial Code (UCC).
A contract may be in the form of a secondary award from a prime awardee under an original federal contract.
Project funds are treated as federal funds – there will be additional special federal terms and conditions.
Many of the original federal contract terms and FAR’s will apply to the subawardee/subcontractor (they will “flow-down”) .
If you must achieve milestones in order to get paid, are the schedule and other performance requirements reasonable?
Are there deliverables or guarantees?
Is it cost reimbursable or fixed price?
What about unexpended funds at project end?
Can you meet the reporting requirements?
Freedom to publish?
Sponsor review (not approval) and publication delay rights?
Intellectual property rights?
Limitations on working with third parties?
Is it research or service/testing work?
Spending restrictions and re-budgeting authority?
Is there flexibility in the work plan? Who pays if there are unusual problems?
Ownership of purchased equipment?
Indirect cost/overhead rates?
Contract-supported research typically requires providing deliverables in addition to reporting results.
A failure to deliver exactly what is agreed may mean the sponsor does not have to pay!
The risk of non-payment is a local burden (PI and department), not a central administration responsibility.
The duly-authorized representatives of both parties sign the agreement – the sponsor and UW.
Only OSP has the authority to sign for the UW.
Principal Investigator may sign as having “read and reviewed”.
The research contract is between UW and the sponsor.
The UW has an employment contract with the researcher.
The official UW signatory must be a person authorized by the UW Regents.
If refunding or non-payment occurs…. the pain flows down!
UW enters into an agreement with a government agency at the request of a faculty member. She is not able to provide the agreed upon training programs because of lack of cooperation with the unit to be trained. No one is informed by the PI, so the UW continues to auto-invoice and the sponsor auto-pays. A whistleblower informs the state auditor and the information ends up on the news. UW (and the PI) is required to repay the funds.
Review contract terms carefully with both OSP and department administrators before the project begins.
Keep in mind this is a contract, not a grant or gift.
Make note of special conditions.
Submit reports and provide deliverables exactly as committed in the contract.
Follow agreed upon timelines and methodology.
Work with OSP to obtain in writing any changes in scope, timelines or reporting.
Do not charge expenses to a cost-reimbursement contract unless they are part of the budget and are directly related to the work.
If the sponsor has title to equipment, do not use UW funds to purchase it and do not use outside of project.
Be sure to clearly understand the terms of any material transfer agreement (MTA).
Closely monitor subawards. The OSP website has guidance and forms and information on two classes on subaward monitoring.
Do not rely on verbal agreements or enter into side agreements with sponsor.