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      • Nina F. Schor, M.D., Ph.D.
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      • Policies and Recruitment Processes
        • 5-Year / 8-Year Duration Rule
        • Departing Staff Request to Remove Copies of NIH Records
        • Example IC Check Sheets / Checklists
        • Exceptional Extensions of IRTA and Visiting Fellowships to a 6th Year
        • Fair Review Principles for Nominations of Staff Scientists for Associate Scientist and Senior Associate Scientist Titles
        • Guide for Avoiding Undue Foreign Interference with IRP Research
        • Guidelines for Parental/Family Excused Absence for IRTAs, CRTAs, and Visiting Fellows
        • Keep The Thread Policy
        • Mandated Training for Scientific Staff Working in NIH Facilities
        • Policy for Reassignment or Early Termination of Awards to Postbaccalaureate Fellows
        • Policy for Reassignment or Early Termination of Awards to Postdoctoral Fellows
        • Policy for Reassignment or Early Termination of Awards to Predoctoral Fellows
        • Policy for Use of Contract Workers to Support Scientific Functions in the IRP
        • Policy on Use of English for Official Scientific Communication in NIH Laboratories and Branches
        • Postdoctoral Fellows (IRTA/CRTA/VF) Temporary Exceptional Extensions Policy
        • Roles of Lab and Branch Chiefs (or Equivalent)
        • Telework Policies for IRTA/CRTA and Visiting Fellows
        • Working with Displaced Title 42 Staff Scientists/Clinicians
      • IRP Demographics
        • Intramural Research Program Personnel Demographics (End FY22)
        • Foreign Nationals in the Intramural Research Program (End FY22)
        • Intramural Research Program Personnel Demographics (End FY21)
        • Foreign Nationals in the Intramural Research Program (End FY21)
        • Intramural Research Program Personnel Demographics (End FY20)
        • Foreign Nationals in the Intramural Research Program (End FY20)
        • Intramural Research Program Personnel Demographics (End FY19)
        • Foreign Nationals in the Intramural Research Program (End FY19)
        • Intramural Research Program Personnel Demographics (End FY18)
        • Foreign Nationals in the Intramural Research Program (End FY18)
        • Intramural Research Program Personnel Demographics (End FY17)
        • Foreign Nationals in the Intramural Research Program (End FY17)
        • Intramural Research Program Personnel Demographics (End FY16)
        • Foreign Nationals in the Intramural Research Program (End FY16)
      • Quality-of-Life Features
      • Sabbaticals
        • NIAAA Sabbatical Program
        • NEI Sabbatical Program
        • NICHD Sabbatical Program
        • PHS Foreign Work / Study Program Policy
      • Opportunities for Short Assignments / Details at the NIH
    • Tenure in the NIH Intramural Research Program
      • Tenure-Track Overview
      • Search & Selection
        • Search Process for Senior Investigators, Tenure-Track Investigators, Senior Clinicians and Senior Scientists
        • Role of Search Committee Members
      • Additional Tenure-Track Policies
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      • Tenure Overview
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      • Criteria for Tenure at the NIH
      • Statement About PI Involvement in Diversity, Equity, Inclusion, and Accessibility
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    • Awards, Fellowships, & Grant Opportunities
      • The Director’s Challenge Innovation Award Program
        • 2020 Director’s Challenge Awards
        • 2022 Director’s Challenge Awards
      • Early Career (Bridge) Awards Open to IRP Scientists
      • Eligibility of Intramural Investigators for NIH Common Fund Awards
      • K99/R00 Grant Award Information
        • Application Approval Process and Additional Information
        • K99/R00 Environment and Institutional Commitment Statement
        • Update from Scientific Directors
      • NIAID Support of Intramural Biodefense Research from ICs Other Than NIAID
    • Ethical Conduct
      • Research Misconduct
        • Anonymous Reporting of Research Misconduct Concerns
        • Taraswi Banerjee, Ph.D.
        • Alfredo R Sancho, Ph.D., M.P.H.
      • Guidelines on Conduct of Research
      • Research Ethics
        • NIH Policies
          • Intramural / Extramural Collaborations
            • NIH Staff Involvement on Extramural Awards - Cooperative Agreements
              • Opportunities for Collaborative Research at the Clinical Center (U01)
              • NIH Bench-to-Bedside Program
            • Activities with Outside Organizations
          • Investigation of Allegations of Research Misconduct
        • NIH Guidelines
          • Guide for Human Biospecimen Storage and Tracking
            • Frequently Asked Questions
            • List of Biospecimen Liaisons
      • Special Research Considerations
        • Dual-Use Research
        • Human Stem Cell Use
          • Human Embryonic Stem Cell (hESCs) Use
          • Induced Pluripotent Stem Cells (iPSCs) Use
          • Human Embryo Research and Cloning Prohibitions
        • Policies & Procedures for Human Fetal Tissue Research
          • Policies on the Acquisition and Use of HFT
          • Procedures for Obtaining HFT
      • Responsible Conduct of Research Training
        • Instruction in Responsible Conduct of Research - Postdoc IRTA, CRTA, VF, Research Associates
          • Reproducibility Training
          • Introduction to “My Laboratory”
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        • Resources for Training Directors
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          • Research Cases for Use by the NIH Community
            • 2021 Ethics Case Facilitator Training
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      • Mentoring Cases for Discussions
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    • A premier environment where creative scientists conduct fundamental research for the betterment of human health – we are the IRP
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    • A publication for and about the NIH intramural research community
    • Visit Website
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    • The NIH Intramural Database collects and disseminates information about research being performed in the Intramural Programs
    • Visit Website

NIH Staff Involvement on Extramural Awards - Cooperative Agreements

There are two basic mechanisms of award – acquisition and assistance. Acquisition is done through a contract, and is used to achieve a purpose primarily for the direct benefit or use of the federal government; thus the government project officer is very much involved in directing the conduct of the project. On the other hand, assistance can be either through a grant or a cooperative agreement, and is used primarily to support or stimulate investigator-initiated research. A grant involves normal program stewardship by extramural program staff, with no substantial scientific/programmatic involvement by federal staff. The cooperative agreement lies somewhere in between a grant and a contract: although it is an assistance mechanism like a grant, it is used when there is substantial federal staff involvement (more than in a grant), but not to the point of having the federal government play a dominant role in the conduct of the project (as in a contract). Thus, in awarding a grant, the federal government can be considered a “patron” of the research; in awarding a cooperative agreement, the federal government acts as a “partner” in conduct of the research; and in awarding a contract, the federal government is the “procurer” of a service or a product.

ICs make cooperative agreement awards using the code “U” instead of “R” or “P” – for example, making a U01 award instead of an R01 award. Otherwise, the same funding criteria and procedures are used as for grants. The two mechanisms are sufficiently similar that converting an application submitted for an R01 to a U01 when conditions warrant (i.e., substantial federal staff involvement) is easily accomplished, with the nature of the involvement outlined as a term of award. The intent has been to make the awarding of a cooperative agreement legally appropriate, not disruptive to the IC or grantee, and as transparent as possible to the community. Consequently, the awarding of a cooperative agreement has the same implications regarding a grantee’s fiscal and scientific obligations as exist under a grant.

Obviously, there are degrees of collaboration. Whether federal staff involvement in a particular extramural project is significant enough to warrant use of the cooperative agreement is determined on a case-by-case basis. Within the IC, the Extramural Program Management Committee (EPMC) member (or other designated program official) and Grants Management Officer have ultimate responsibility for this determination, with concurrence of the Director, Office of Extramural Programs, OER. When the federal involvement is on the part of intramural staff, coordination of this process includes the IC Scientific Director. Thus in that case, the intramural investigator’s responsibility is to notify the Scientific Director and EPMC member if that investigator is involved in, or is contemplating, a collaboration in an extramural grant. This ensures that there is complete and common understanding about the nature and amount of federal involvement, that there is no conflict of interest in the administration of the grant because of that involvement, and that appropriate terms and conditions reflecting the federal staff involvement are incorporated in the terms of the extramural award. Examples of substantial scientific involvement are appended.

NIH Intramural Staff Involvement in Extramural Awards

Examples of Intramural Scientific Staff Activities that Constitute Substantial Involvement:

  • Acting as the director of a project within a program project (P01) grant
  • Having primary responsibility for a specific aim within a regular research grant (R01)
  • Development of a major data base for an extramural collaborator
  • Participation in a multi-institutional collaborative arrangement with extramural researchers for clinical, prevention or epidemiological studies

Notes:

  1. Involvement may initially begin as not substantial, but evolve over time to become substantial, thus requiring reconsideration of the appropriate mechanism of award.
  2. Certain kinds of involvement, such as acting as a consultant to provide occasional advice or providing occasional sample analyses, clearly do not constitute substantial involvement.
  3. However, it is acknowledged that gray areas may arise that would require determination on a case-by-case basis.
    • http://oma1.od.nih.gov/manualchapters/management/1820/
    • http://oma1.od.nih.gov/manualchapters/grants/54815/

Resources

  • Opportunities for Collaborative Research at the Clinical Center (U01)
  • NIH Bench-to-Bedside Program

This page was last updated on Tuesday, August 10, 2021

Main navigation

  • Intramural COVID-19 Guidance and Resources
    • IRP Repository for COVID-19 Samples
    • Rapid Review of Human Subjects Research Related to the SARS-CoV-2 Pandemic
    • Donating Personal Protective Equipment (PPE) and COVID-19 Testing Supplies
    • Exceptional Use of IC Funds for Per Diem Quarantine for Non-FTE Trainees (VF/IRTA/CRTA)
    • Student IRTA/CRTA and Student Special Volunteers
    • Extension Exceptions for Non-FTE Trainees for COVID-19
    • 2020 Virtual Postbac Poster Day
  • Board of Scientific Directors
    • Board of Scientific Directors Membership
    • Board of Scientific Directors Sub-Committees
  • Committees Advisory to the DDIR
    • Advisory Committee to the DDIR
    • Assembly of Scientists (AOS)
    • Committee on Scientific Conduct and Ethics (CSCE)
    • Central Tenure Committee (CTC)
    • Chairs of the Boards of Scientific Counselors
    • Tenure-Track Investigators Committee
    • Training Directors Committee
    • Fellows Committee (FelCom)
    • Office of Intramural Training and Education (OITE) Steering Committee
    • PostBac Committee
    • Senior Biomedical Research Service (SBRS) Policy Board
    • Women Scientist Advisors (WSA) Committee
    • Human Subjects Research Advisory Committee (HSRAC)
    • Animal Research Advisory Committee (ARAC)
    • Dual Use Research of Concern (DURC) Committee
    • NIH Intramural Embryonic Stem Cell Research Oversight (ESCRO) Committee
    • Facilities Working Group
    • NIH Space Recommendation Board
    • PHS Technology Transfer Policy Board
  • Processes for Reviewing NIH Intramural Science
    • Boards of Scientific Counselors (BSC)
      • Addendum to BSC Policies and Procedures
    • Blue Ribbon Panel Reviews of IC Intramural Research Programs
    • Role and Review of Scientific Directors and Clinical Directors
  • Intramural Program Oversight
    • Human Subjects Research
      • NIH IRP Clinical Directors
    • Intramural Data Sharing
      • 2023 NIH Data Management and Sharing Policy
      • Genomic Data Sharing
      • Human Data Sharing
      • Guide to FDAAA Reporting Research Results
        • Frequently Asked Questions: NIH Clinical Trial Definition
        • Assistance Available to Help with Results Reporting to ClinicalTrials.gov
          • Points of Contact for FDAAA Compliance at ICs
    • Laboratory Safety
    • Management Controls Survey
  • Intramural Administrative Management Council
    • List of Council Members
    • List of Trans-NIH Committees
  • Personnel
    • IPDs and Appointment Mechanisms
      • Official List of Approved Intramural Professional Designations (IPDs)
      • Senior Investigator
      • Investigator
      • Senior Clinician
      • Senior Scientist
      • Assistant Clinical Investigator
      • Staff Clinician
      • Staff Scientist
      • Senior Research Assistant / Research Assistant
      • Adjunct Investigator
      • Scientist Emeritus
      • Intramural Research Training Award (IRTA) Fellow
      • Visiting Fellow
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      • Senior Research Fellow
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        • Independent Research Scholar Program
      • Student Opportunities
      • Contractors
      • Guest Researchers / Special Volunteers
      • Research Collaborators
    • Policies and Recruitment Processes
      • 5-Year / 8-Year Duration Rule
      • Departing Staff Request to Remove Copies of NIH Records
      • Example IC Check Sheets / Checklists
      • Exceptional Extensions of IRTA and Visiting Fellowships to a 6th Year
      • Fair Review Principles for Nominations of Staff Scientists for Associate Scientist and Senior Associate Scientist Titles
      • Guide for Avoiding Undue Foreign Interference with IRP Research
      • Guidelines for Parental/Family Excused Absence for IRTAs, CRTAs, and Visiting Fellows
      • Keep The Thread Policy
      • Mandated Training for Scientific Staff Working in NIH Facilities
      • Policy for Reassignment or Early Termination of Awards to Postbaccalaureate Fellows
      • Policy for Reassignment or Early Termination of Awards to Postdoctoral Fellows
      • Policy for Reassignment or Early Termination of Awards to Predoctoral Fellows
      • Policy for Use of Contract Workers to Support Scientific Functions in the IRP
      • Policy on Use of English for Official Scientific Communication in NIH Laboratories and Branches
      • Postdoctoral Fellows (IRTA/CRTA/VF) Temporary Exceptional Extensions Policy
      • Roles of Lab and Branch Chiefs (or Equivalent)
      • Telework Policies for IRTA/CRTA and Visiting Fellows
      • Working with Displaced Title 42 Staff Scientists/Clinicians
    • IRP Demographics
      • Intramural Research Program Personnel Demographics (End FY22)
      • Foreign Nationals in the Intramural Research Program (End FY22)
      • Intramural Research Program Personnel Demographics (End FY21)
      • Foreign Nationals in the Intramural Research Program (End FY21)
      • Intramural Research Program Personnel Demographics (End FY20)
      • Foreign Nationals in the Intramural Research Program (End FY20)
      • Intramural Research Program Personnel Demographics (End FY19)
      • Foreign Nationals in the Intramural Research Program (End FY19)
      • Intramural Research Program Personnel Demographics (End FY18)
      • Foreign Nationals in the Intramural Research Program (End FY18)
      • Intramural Research Program Personnel Demographics (End FY17)
      • Foreign Nationals in the Intramural Research Program (End FY17)
      • Intramural Research Program Personnel Demographics (End FY16)
      • Foreign Nationals in the Intramural Research Program (End FY16)
    • Quality-of-Life Features
    • Sabbaticals
      • NIAAA Sabbatical Program
      • NEI Sabbatical Program
      • NICHD Sabbatical Program
      • PHS Foreign Work / Study Program Policy
    • Opportunities for Short Assignments / Details at the NIH
  • Tenure in the NIH Intramural Research Program
    • Tenure-Track Overview
    • Search & Selection
      • Search Process for Senior Investigators, Tenure-Track Investigators, Senior Clinicians and Senior Scientists
      • Role of Search Committee Members
    • Additional Tenure-Track Policies
    • Resources
    • Policy on IC Tenure Review Committees
    • Tenure Overview
    • Search & Selection
    • Criteria for Tenure at the NIH
    • Statement About PI Involvement in Diversity, Equity, Inclusion, and Accessibility
    • De-Tenuring Process
  • Awards, Fellowships, & Grant Opportunities
    • The Director’s Challenge Innovation Award Program
      • 2020 Director’s Challenge Awards
      • 2022 Director’s Challenge Awards
    • Early Career (Bridge) Awards Open to IRP Scientists
    • Eligibility of Intramural Investigators for NIH Common Fund Awards
    • K99/R00 Grant Award Information
      • Application Approval Process and Additional Information
      • K99/R00 Environment and Institutional Commitment Statement
      • Update from Scientific Directors
    • NIAID Support of Intramural Biodefense Research from ICs Other Than NIAID
  • Ethical Conduct
    • Research Misconduct
      • Anonymous Reporting of Research Misconduct Concerns
      • Taraswi Banerjee, Ph.D.
      • Alfredo R Sancho, Ph.D., M.P.H.
    • Guidelines on Conduct of Research
    • Research Ethics
      • NIH Policies
        • Intramural / Extramural Collaborations
          • NIH Staff Involvement on Extramural Awards - Cooperative Agreements
            • Opportunities for Collaborative Research at the Clinical Center (U01)
            • NIH Bench-to-Bedside Program
          • Activities with Outside Organizations
        • Investigation of Allegations of Research Misconduct
      • NIH Guidelines
        • Guide for Human Biospecimen Storage and Tracking
          • Frequently Asked Questions
          • List of Biospecimen Liaisons
    • Special Research Considerations
      • Dual-Use Research
      • Human Stem Cell Use
        • Human Embryonic Stem Cell (hESCs) Use
        • Induced Pluripotent Stem Cells (iPSCs) Use
        • Human Embryo Research and Cloning Prohibitions
      • Policies & Procedures for Human Fetal Tissue Research
        • Policies on the Acquisition and Use of HFT
        • Procedures for Obtaining HFT
    • Responsible Conduct of Research Training
      • Instruction in Responsible Conduct of Research - Postdoc IRTA, CRTA, VF, Research Associates
        • Reproducibility Training
        • Introduction to “My Laboratory”
      • Instruction in Responsible Conduct of Research - Postbacs and GPP Students
      • Resources for Training Directors
      • Annual Review of Ethics (Case Studies)
        • Research Cases for Use by the NIH Community
          • 2021 Ethics Case Facilitator Training
      • Processes for Authorship Dispute Resolution
    • Government Ethics
      • Guidelines for Non-FTEs (Trainees) for NIH-Related Activities, Outside Activities, and Awards
    • Bioethics
  • Mentoring & Training
    • Guide to Training and Mentoring
    • Guidelines for Mentors at NIH
    • Guidelines for Trainees at NIH
    • Guidelines for Annual Progress Review of Trainees
    • Scientific Director Policy Updates for Mentors and Trainees
    • Goals for Enhanced Mentoring in the IRP
    • FelCom Mentoring Committee
    • The DDIR Implementation Plan in Response to the FelCom Subcommittee Report on Mentoring
    • Mentoring Cases for Discussions
  • Submitting Research Publications
    • PubMed Central (PMC) Deposition Requirements
    • Intramural Directions for Submitting to PubMed Central via NIHMS
    • NIH Publishing Agreement Forms
      • Procedures for Non-Peer-Reviewed Publications
    • Publication and Abstract Clearance
  • Intramural Research Communications & Resources
    • Annual Reports and Bibliographies
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  • About OIR
    • OIR Leadership & Staff
    • Diversity & Inclusion
    • Intramural Targeted Anti-COVID-19 (ITAC) Awards
    • DDIR Innovation Awards
    • Long-Term IRP Planning
    • OIR Offices
  • Sourcebook
    • Intramural COVID-19 Guidance and Resources
    • Board of Scientific Directors
    • Committees Advisory to the DDIR
    • Processes for Reviewing NIH Intramural Science
    • Intramural Program Oversight
    • Intramural Administrative Management Council
    • Personnel
    • Tenure in the NIH Intramural Research Program
    • Awards, Fellowships, & Grant Opportunities
    • Ethical Conduct
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    • Submitting Research Publications
    • Intramural Research Communications & Resources
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    • SIGs by Scientific Focus Area
  • IRP Website
    • A premier environment where creative scientists conduct fundamental research for the betterment of human health – we are the IRP
    • Visit Website
  • NIH Research Festival
    • The NIH Research Festival is the showcase for intramural research
    • Visit Website
  • The NIH Catalyst
    • A publication for and about the NIH intramural research community
    • Visit Website
  • NIDB
    • The NIH Intramural Database collects and disseminates information about research being performed in the Intramural Programs
    • Visit Website
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