Governance describes who approves fundable slate.

Award notification/announcements

Grantee – This is done by directly notifying the applicant either through email or through the portal by which the applicant submitted the proposal through (i.e. proposalCENTRAL).

Public – Press releases are utilized upon coordination with the organization’s board approval.

Award Agreements – Standard Terms and Conditions

TOCs are generated by each organization for awardees during their funding period. It is understood that parties involved (the investigator(s), collaborators, and the institutions) agree to be compliant to the terms set by the funding organization. Terms will often include the following components:

• Language – Examples
• Allowable expenses
  • Conference-related costs are typically set for fellows/early-career grantees and applicants can include this in their budget
    • Hearing Health Foundation allows up to $2,500
    • Ovarian Cancer Research Alliance limits $2,000 per grant year
    • The Gerber Foundation does not allow these costs for the first year on multi-year projects, but will consider requests for subsequent years
    • Simons Foundation does not set a limit
  • Publication costs can be set as a fixed amount by either the funder or it can be requested as a line item in the proposed budget
    • PKD Foundation grantees have requested $1,000 – $3,000 for additional costs for publishing and for conference-related expenses
    • Hearing Health Foundation allows up to $2,500
    • Ovarian Cancer Research Alliance and Simons Foundation do not set a limit
• Indirect costs –  NFRI Slides
• Compliance
  • IACUC or IRB approval
• Misconduct
• Intellectual Property/Revenue Sharing
  • Transparency – This ensures open communication between the grantee and the funder that outlines a written confidential disclosure of any inventions (individual or joint) that arise out of funded projects. Organizations must consider the IP policies of each institution involved and request to be included in discussions should IP be considered.
  • Principals & Guidelines for Revenue Sharing
    • Terms up front vs. negotiating once a revenue threshold has been reached
      • What is the minimum threshold at which sharing begins? Most funders are ok with a threshold.
    • Can a “windfall provision” simplify the agreement? (E.g. Won’t discuss sharing terms until revenues reach $1M.)
    • If the calculations become tedious/difficult, it can be agreed that everyone (institution, PI, funder) deserves a share.
    • What is the royalty percentage and base? (Most funders are ok with a shared based on proportion of support.)
      • Some funders use 5-10% for royalty shares.
    • Will there be a sharing cap? 2x, 3x, 5x, or none at all?
    • Funders will “protect” the investors’ share from reduction; the PI will get their cut before calculations are made.
    • Funders will take into consideration patent expenses.
  • Control of Licensing
    • The  goal is to promote communication rather than dictate any particular policy. Funders should understand there is no “one size fits all” approach.
      • Usually funder/institution interests are aligned, but it typically is a result of a communication gap when there are issues.
    • Communication vs. control – How much control should each party have? How much communication is required?
      • Written reports, required notices/approvals (increase control, but decrease efficiency if there are too many), informal updates, etc.
      • Reporting is crucial, but obligations must not be a burden. This can become hard for tech transfer offices to operationalize.
• Publications
• Indemnification
• Acknowledgments
• Conflict of Interest
  • The recipient certifies that they have an institutional policy for the review and management of financial conflicts of interest.  Recipient will follow that policy in the conduct of the award.
• Safe Environment
  • The funder is committed to safe work environments free from discrimination and harassment. The funder expects that the Grantee Institution to maintain a safe nondiscriminatory harassment-free work environment at all times.
• Equal Employment
  • In connection with this award, the Grantee and Institution shall not discriminate against any employee, applicant for employment, or other person because of race, religion, color, gender, national origin, disability, age, or ancestry.  Grantee and Institution certify they have internal policies to ensure that any parties involved with this award, including employees, subcontract employees, and volunteers, are treated during their employment without regard to any of the aforementioned categories.

Templates and Examples from HRA members/NFRI

Contracting

Key provisions/terms should be discussed and included in the award agreement.

Grant Payment