Types of Awards

Additional Links: Matrix of Sponsored Programs

 

Federal Awards
In the federal lexicon, contracts, grants, and cooperative agreements are distinguished by three characteristics:

  1. the source of the idea for the project
  2. the degree of involvement of the sponsoring agency, and
  3. the corresponding level of flexibility in carrying out the project.

Grants:

  • fund investigator-initiated projects;
  • support research, education, training, and facilities;
  • provide more autonomy and greater flexibility than contracts;
  • do not anticipate substantial involvement between the recipient and the sponsor;
  • typically use a short award document, often referencing standard terms and conditions.

Cooperative Agreements:

  • fund projects conceived by an investigator, but often in response to specific research areas identified by the sponsor;
  • assume the project would not be possible without collaboration between the recipient and the sponsor;
  • anticipate sponsor involvement in and contribution to the technical aspects of the project;
  • like grants, allow more flexibility than contracts; and
  • have less detailed award documents than contracts.

Contracts:

  • originate from specific goals of a federal agency as described in a solicitation or request;
  • fund well-defined specific efforts, generally affording the recipient less latitude than do grants and cooperative agreements; and
  • use detailed award instruments which are subject to federal acquisition regulations.

Fellowships and Training Grants are not a "type of award". They are listed as an "Activity Type" in SPS. They can be in the form of a grant, contract or cooperative agreement.

Training Grants: Most common with NIH and NSF (can be grant, cooperative agreement or contract)

  • NIH F31 (graduate student) and F32 (postdoc) grants fund specific people and are managed by the department.
  • NIH T32 and other T grants support multiple people.  The department manages these projects and who is selected to be supported.
  • The NSF Graduate Research Fellowship Program is submitted and managed by the Duke Graduate School.

Fellowships: (Can be Federal or Non-Federal grant, cooperative agreement or contract.)

  • support advanced or continued education for scholars and researchers;
  • provide a stipend as opposed to a salary; and
  • do not require recipients to perform any functions or pursue any research goals for the sponsor.

Non-federal Awards
In addition to the federal models, Duke identifies other award mechanisms with distinct characteristics such as foundation grants, corporate agreements, fellowships, and gifts.

Foundation Grants:

  • fund investigator-initiated projects;
  • support research, education, training, facilities;
  • provide more autonomy and greater flexibility than contracts;
  • do not anticipate substantial involvement between the recipient and the sponsor; and
  • typically use a short award document.

Corporate - or Sponsored Research - Agreements:

  • fund basic research related to a corporate R&D focus while guaranteeing that the PI will retain direction of the project;
  • may involve interaction and collaboration between corporate and Duke scientists;
  • often require extensive negotiations between ORS and corporate representatives on issues such as publication rights and ownership of intellectual property, and;
  • must be formulated in accordance with Duke policies such as the University/Industry Guidelines and Invention, Patents and Technology Transfer.

There are additional ways that money comes in to Duke that include gifts, donations or prizes. Most are handled through Foundation or Corporate Relations.

Gifts:

  • provide general support - without specific terms or conditions or reporting requirements - for the research or other activities of a particular individual, unit, or facility