Award Related

US DEPARTMENT OF ENERGY

GENERAL TERMS & CONDITIONS

https://www.nsf.gov/pubs/policydocs/rtc/agencyspecifics/doe_417.pdf

Agency Specific Requirements:

  1. Research Terms and Conditions Appendix A or:
  2. Financial Assistance Forms and Information For Applicants and Recipients
  3. Special Terms and Conditions For use in Most Grants and Cooperative Agreements
  • REPORTING 
     
    • Annual – In general an annual progress report is due 90 days prior to the anniversary date of all funding years including the last year.  Reports should be submitted by the PI directly to their DOE Program Manager via email.   PI’s can find all reporting requirements, schedules, and contact information on the Federal Assistance Reporting Checklist, DOE F 4600.2 attached to their award.
       
    • Final- within 90 calendar days following the termination date of the award.  The report  should be submitted via the online system at this link:   http://www.osti.gov/elink-2413
       
  • NO-COST EXTENSIONS
     
    •   First – UMass can approve one no cost extension (of up to 12 months) under expanded authority.  Requests must be submitted to OPAM at opam@umass.edu at least 60 days prior to the then current grant end date ad must provide a specific revised end date and a justification for the extension.    
       
    • Subsequent – no cost extensions require approval from DOE and should be submitted to OPAM at opam@umass.edu at least 60 days prior to the then current grant end date.  The letter of request should be signed by the PI and include the following:
       
  • A specific revised end date.
  • A summary of progress to date and a justification as to why additional time is needed
  • An estimate of funds expected to remain unobligated on the current termination date
  • A description of work remaining and a timeline for completion

 

  • BUDGET REVISIONS:
     
    • Requiring DOE approval:   The PI should prepare a letter of request with supporting documentation and submit to OPAM at opam@umass.edu who will review and forward to DOE as appropriate.  If questions, please contact your award administrator for further guidance.
    • Changes resulting from a significant change in the level of effort for the PI/Co-PI
    • Changes that result from a change in the Scope of the project
    • Need for additional funding
    • Foreign Travel when not approved as contained in the Proposal budget
    • Addition of a subcontract
    • Any change between line items exceeding 10% of the total approved budget
    • Rebudgeting funds from the Trainee/Training line item
     
    • Other Budget Revisions: Normally do not require DOE approval.  If any doubt, contact your grant accountant who can provide guidance.
  • CARRY FORWARD
    Any unobligated balance of funds which remains at the end of any funding period, except the final funding period of the project, shall be carried over to the next funding period
  • PRIOR APPROVAL ACTIONS/REQUESTS

    The following require the prior approval of DOE.  The PI should prepare a letter of request with supporting documentation and submit to OPAM at opam@umass.edu who will review and forward to DOE as appropriate.  If questions, please contact your award administrator for further guidance.
     
  • PI Transfer
  • Change PI or Add/Change Co-PI – or withdrawal of PI/Co-PI
  • Significant change in level of effort for PI or Co-PI
  • Addition of a Subcontract
  • Change in Objectives or Scope
  • DOE approved No-Cost Extension (2nd extension or late request for 1st extension)
  • Long term absence (over 3 months) of PI or Co-PI.  This approval must be sought from DOE in all cases of the PI/Co-PI being away on sabbatical, maternity/paternity leave, medical leave, etc., even if the PI/Co-PI intends to keep in communication with the project.  Part of that approval is how the project will run while the PI/Co-PI is away.
  •  Preaward costs in excess of 90 days
  • GRANTEE NOTIFICATION TYPES:  The PI should prepare a letter of request with supporting documentation and submit to OPAM at opam@umass.edu who will review and forward to DOE as appropriate.  If questions, please contact your award administrator for further guidance.
     
  • Grantee approve No Cost Extension (1st extension)
  • Short term absence of PI/Co-PI (up to 3 months)
  • Significant Changes/Delays or events of unusual interest
  • Significant changes in Methods/Procedures
  • Conflicts of Interest

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AMERICAN HEART ASSOCIATION

General Terms and Conditions

http://my.americanheart.org/idc/groups/ahamah-public/@wcm/@sop/@rsch/documents/downloadable/ucm_470094.pdf

The American Heart Association has a web-based Research Administration System, Grants@Heart (link above).  As the PI of a newly funded Award, you need to access this system to electronically submit forms required to “Activate Your Award”.  These forms include:

  • Acceptance Form
  • An Agreement – MUST be printed and mailed to AHA with original signatures
  • A Medical Subjects Heading (MeSH) Form
  • A Subject Use Form
  • A Project Budget
  • ANNUAL SCIENTIFIC PROGRESS REPORTS
  • FINANCIAL REPORTS:  Financial reports should be submitted no later than 90 days after the close of each annual Funding Period/each year of Award Period, or no later than 90 days after an authorized transfer of the Award or early Award termination. Reports submitted at the termination of an authorized extension period must be accompanied by a check for the balance of any unexpended funds.
  • PAYMENTS:  Payments are made through Quarterly Installments (January, April, July, and October)
  • BUDGET REVISIONS:  Prior approval is required for rebudgeting the following items:
  • Rebudgeting of Award funds for the purchase of a piece of equipment totaling more than twenty-five percent (25%) of the annual Project support budget.
  • Rebudgeting of Award funds for computers and components of computer systems (including software) beyond a one-time expense of $5,000 requires prior AHA approval.
  • NO-COST EXTENSION:  In the final year, an Awardee may request a twelve-month extension to complete the project as outlined in the proposal if they cannot be completed in the initial period of the award. This must be completed through the AHA portal (Login at bottom of page):  http://my.americanheart.org/professional/Research/AwardsManagement/Awards-Management_UCM_316911_SubHomePage.jsp  through the Financial Report Form option.   Unexpended funds will be reflected on the Financial Report Form.  The amount of carryforward must be within the permitted dollar limitations (see below).  Funds remaining at the end of an authorized extension year must be returned to the AHA.  A second extension year is not allowed.
  • CARRYOVER OF UNEXPENDED FUNDS

 Fellowship Awards:

  • The Project support for continuing Fellowship Awards may be carried over from year to year without AHA approval. An extension year is not allowed for Fellowship Awards. Funds remaining at the end of the Award should be returned to the AHA.

If allowed by the funding component, the fellow may reapply through the AHA’s competitive Application process for a third year of funding. Please check the AHA website for more information.

Awards:

  • Continuing Year - If there is an unobligated balance of funds of less than $10,000 at the end of an Award Period and if the Principal Investigator is continuing the research, these funds may be carried forward to the next fiscal year without advance approval. This action can be implemented when selecting the appropriate option on the Financial Report form.

If the Principal Investigator is interested in carrying over an amount greater than $10,000, prior approval from the AHA is required. The Principal Investigator must submit a request in writing with the Financial Report form (90 days after the close of the grant year – April 1 or October 1). The Research Committee will review the request and a notice of disposition will be sent to the Principal Investigator.

  • In their final year, Award recipients (except fellows) may request a twelve-month extension to use a portion of or all unexpended funds by so indicating by selecting the appropriate item on the Financial Report Form. The amount of the carryover must be within the permitted dollar limitations. Funds remaining at the end of an authorized extension year must be returned to the AHA. A second extension year is not allowed.

  • Extension Year - If there is an unobligated balance of funds inclusively between $500 and $10,000 at the end of the final fiscal period, such funds may be carried forward without advance approval to a twelve-month extension period if utilized for the purpose for which the Award was made. This action can be implemented by selecting the appropriate option on the Financial Report form. Amounts up to the minimum extension carryover of $500 must be returned to the AHA with the Financial Report.  Unexpended funds of less than $10 may be retained.

Please contact your Award Administrator for further instructions.

FAQ’s:  If you have questions or need clarification of any Award policies, please contact AHA Research Awards Administration at awards@heart.org.

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Documents of interest related to effort reporting:

This page is for internal use only at the University of Massachusetts Amherst

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Procedure for Dealing with Restrictions to Open Research

 

Review relevant document (e.g., Request for Proposal or Request for Application, draft research agreement, draft Material Transfer Agreement).

Upon receipt of these documents, research administrators in the Office of Grant and Contract Administration (OGCA) or the University of Massachusetts Innovation Institute (UMII) review the document for clauses that:

A. Constrain the University from disclosing:

a. the existence of the contract or grant;

b. the identity of the sponsor or the grantor and, if a subcontract is involved, the identity of the prime contractor; and

c. the purpose and the scope of the proposed research in sufficient detail:

i. to permit informal discussion concerning the wisdom of such research within the University; and

ii. to inform colleagues in immediate and related disciplines of the nature and importance of the potential contribution to the disciplines involved

B. Limit the ability to disseminate fully and promptly the results of the research or specifically permit retroactive classification (other than standard clauses found in federal contract templates that are not germane to the research).

C. Restrict who can participate in the research project.

 

Determine whether research is "proprietary" or "restricted."

If research administrators find restrictive clauses, they will work with the Office of Research Compliance (ORC) export control staff to determine whether the clauses fit into the "proprietary" or "restricted" categories:

Proprietary research: Industrially-sponsored research that uses the sponsor's proprietary information or results in intellectual property for which the sponsor has an option to an exclusive license. These sponsors often request restrictions on who can discuss the research and under what circumstances. They also may prohibit publication of confidential company information or ask the researcher to delay publication of research results so that they can review the material for proprietary information or take steps to secure intellectual property rights to possible inventions.

The University accepts "proprietary" research agreements that do not restrict who can work on the project and do not request unreasonable (>12 months) publication delays. Agreements containing other restrictions fall under the definition of "restricted" research.

Restricted research: Research that is restricted in who can work on the project or how and when the researchers can discuss the results of the project. This type of research includes projects that are labeled as "sensitive but unclassified" by the sponsor.

Principal investigators seeking to conduct restricted research must request an exemption from the Openness in Research policy through the Office of Research Compliance (ORC) and approved by the Vice Chancellor for Research and Engagement (VCRE).  Under expanded authority delegated by the University of Massachusetts President's Office (UMPO) to the Amherst campus, the VCRE is empowered to accept certain restricted research under the auspices of the UMII and with the technical assistance of ORC.  NOTE: The University will not accept government classified research (i.e., "secret" or "top secret").

 

If the research falls within the definition of restricted research, the research administrator refers the matter to the Office of Research Compliance (ORC) for analysis, technology control plans and to assist the principal investigator with the process of seeking an exemption to openness.

 

Negotiate to remove or amend restrictive clauses.

OGCA or UMII research administrators, with guidance and assistance from ORC as appropriate, will attempt to negotiate an agreement that is satisfactory to the potential sponsor and principal investigator, and in compliance with the University's policies and the principles of academic freedom.

 

Refuse the contract or request an exemption

If the sponsor does not agree to remove the restrictions, the principal investigator may opt to decline the award or to seek an exemption to Trustee policy requiring free and open dissemination of research results.

 

Initiate exemption Request.

The principal investigator must initiate the Exemption Request (Request for Exemption Form). This form facilitates the flow of information among the groups that will discuss and recommend approval or denial of the exemption request.

ORC will assist the principal investigator(s) in seeking the exemption.  To request an exemption, complete the steps below.  Note that sponsored research awards that deviate from standard policies, such as publication and dissemination norms, will be processed through UMII.

 

Complete the Request.

Within three business days for receiving the request, the directors of OGCA and ORC will complete their sections of the request documenting the circumstances and efforts made to negotiate more favorable terms and conditions as appropriate to the nature of the research.

 

Forward exemption request to the Open Research Committee.

ORC submits the exemption request to the office of the Vice Chancellor for Research and Engagement and assists the VCRE in convening an ad hoc advisory committee to evaluate it.  Typical composition of the ad hoc committee includes the department head/chair, the relevant dean and another "arm's length"dean, a Research Council member and Research and Engagement senior staff.

 

VCRE decision to grant or deny the exemption request.

Consistent with UMPO's delegation of authority, the VCRE makes the final decision, based upon the recommendations and input from the ad hoc advisory committee.  An affirmative decision by the VCRE will be predicated upon appropriate compliance protocols being initiated to mitigate any risks, including technology control plans or U.S. government licensing, if required.  Restricted agreements are processed under the auspices of UMII in accordance with the campus delegations received from the UMPO.

Reporting

The Office of Research Compliance tracks requests for exemptions and provides reporting to campus stakeholders and governance groups, including the Faculty Senate Research Council and other interested offices, as necessary.

 

 

* this procedure has been adapted from materials developed by the University of Minnesota for similar purposes

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