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Practice Test Questions Flashcards

1
Q

Dr. Smith has a full appointment with XYZ University and just received an NSF award that allows them to purchase needed equipment in year 1. Dr. Smith decides to purchase this equipment from the small business they own. Which of the below best describes the type of conflict described in this scenario?

a. Conflict of Conscience
b. Conflict of Interest
c. Conflict of Commitment
d. Significant Financial Interest

A

b. Conflict of Interest

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2
Q

Which of the below regulations required that institutions have a plan in place to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduates, graduate students, and postdoctoral researchers who will be supported by the National Science Foundation to conduct research?

a. America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and Science Act of 2007 or America COMPETES Act
b. Human Research Protections Act of 2010
c. American Recovery and Reinvestment Act of 2009 (RECOVERY ACT)
d. Investing in Students the Future of America Act 2012

A

a. America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and Science Act of 2007 or America COMPETES Act

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3
Q

Which of the below scenarios meet the definition of research misconduct as defined by The Office of Research Integrity?

a. A researcher realizes that an error was made in data analysis which led to an incorrect conclusion. It was determine this error was an honest mistake.
b. A researcher knowingly and intentionally removed outlier values or replaced outliers with mean values to produce results that conform to predictions.
c. Collaborators on a research project have a difference of opinion regarding the outcomes of a research project.
d. A graduate student is unable to reproduce previously published research results.

A

b. A researcher knowingly and intentionally removed outlier values or replaced outliers with mean values to produce results that conform to predictions.

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4
Q

According to the 2011 Public Health Service Regulations titled Responsibility of Applicants for Promoting Objectivity in Research for which PHS funding is Sought 42 C.F.R. Part 50, Subpart F, which of the below activities require disclosure?

a. The investigator’s salary paid by the institution
b. Income from investments vehicles such as mutual funds where the investigator does not have direct control
c. Ownership interest in a non‐publicly traded entity that is reasonably related to the investigator’s institutional responsibilities
d. Serving as a peer review panelists for the National Science Foundation

A

c. Ownership interest in a non‐publicly traded entity that is reasonably related to the investigator’s institutional responsibilities

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5
Q

According to the 2011 Public Health Service Regulations titled Responsibility of Applicants for Promoting Objectivity in Research for which PHS funding is Sought 42 C.F.R. Part 50, Subpart F, when should an investigator disclose a significant financial interest to their institution?

a. No later than the time of proposal submission
b. After proposal submission but before the award
c. When the notice of award is received by the institution
d. After the PI has posted expenditures to the grant

A

a. No later than the time of proposal submission

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6
Q

The Public Health Service defines research misconduct as:

a. Fabrication, Falsification, and Formation
b. Plagiarism, Fabrication, and Falsification
c. Authorship, Duplicate Publication, and Translational
d. Theft, Bribery, and Forgery

A

b. Plagiarism, Fabrication, and Falsification

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7
Q

Which of the below is an offence that can lead to suspension or debarment?

a. Failing to submit a final report on time
b. Exceeding the grant budget
c. Conviction of fraud, embezzlement, theft, forgery, or bribery involving federal funds
d. Changing the scope of work

A

c. Conviction of fraud, embezzlement, theft, forgery, or bribery involving federal funds

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8
Q

What is the purpose of the Federal Demonstration Partnership (FDP)?

a. to reduce the administrative burdens associated with federally sponsored research.
b. to seek fundamental knowledge about the nature and behavior of living systems and the application of that knowledge to enhance health, lengthen life, and reduce illness and disability.
c. to support “high‐risk, high pay‐off” ideas, novel collaborations and numerous projects that may seem like science fiction today, but which the public will take for granted tomorrow.
d. to provide a comprehensive array of support services for faculty and staff as they pursue and manage external funding projects.

A

a. to reduce the administrative burdens associated with federally sponsored research.

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9
Q

Which of the below best defines a proposal budget?

a. A budget should be reviewed for consistency with applicable sponsor and university policies.
b. Personnel costs are commonly a significant portion of the budget.
c. The budget is a financial expression of the research proposal.
d. The budget does not have to be consistent with the scope of work outlined in the proposal.

A

c. The budget is a financial expression of the research proposal.

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10
Q

After proposal submission but before award, sponsors may conduct a site visit at the university for what purpose?

a. to ensure that the university has the capacity to carry out the proposed research
b. to build a relationship with the university
c. to ask for researchers to review the proposal
d. to review IRB documents

A

a. to ensure that the university has the capacity to carry out the proposed research

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11
Q

Which of the below online interfaces will replace the National Science Foundation’s online proposal system FastLane and become NSF’s grant management system that provides easy access to research related information and grants management service in one location?

a. Grants.gov
b. Grantforward.com
c. Research.gov
d. NSF.gov

A

c. Research.gov

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12
Q

The U.S. Small Business Administration defines a small business as

a. Is organized as a for profit
b. Has a place of business in the U.S.
c. Company size limited to 500 employees
d. All of the above

A

d. All of the above

for more info see: https://www.sba.gov/

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13
Q

In December 26, 2014, what is the title of the new federal guidance that eliminated the OBM Circulars A‐21, A‐110, and A‐133?

a. A‐81, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards
b. A‐21, Requirements for Research Administration of Costs
c. A‐100, Administrative Requirements for Federal Awards
d. A‐101, Basic Cost Principles and Audit Requirements for Federal Awards

A

a. A‐81, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards

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14
Q

OMB A‐81 outlines 6 elements required in a notice of Federal funding. Please identify the 6 elements.

a. Principal investigator scope of work, budget, collaborators, consultants, internal forms, and Grants.gov
b. Full program description, federal award information, specific eligibility, application preparation and submission, review criteria, and federal award administration
c. Acronyms and definitions, Appendices, Conference Expenses, Participant Support Costs, Computing Devices, Publication Costs
d. Administrative and Clerical Salaries, Conflict of Interest Requirements, Facilities and Administrative Costs, Entertainment Costs, Compliance Checks, Institutional Approvals

A

b. Full program description, federal award information, specific eligibility, application preparation and submission, review criteria, and federal award administration

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15
Q

What is a key distinction between an RFP and a BAA?

a. A BAA is usually a fixed price contract and a RFP is usually a cost reimbursable contract.
b. BAAs are broad in their subject matter and focus on advancing science rather than acquiring specific products.
c. A RFP requires you to follow the sponsor guidelines closely while a BAA does not.
d. BAA opportunities are always limited submissions while RFPs are not limited.

A

b. BAAs are broad in their subject matter and focus on advancing science rather than acquiring specific products.

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16
Q

According to Uniform Guidance which of the below costs are generally allowed?

a. Entertainment costs
b. Lobbying costs
c. Dependent Care
d. American Health Care Act

A

c. Dependent Care

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17
Q

According to Uniform Guidance 200.205, the Federal awarding agency may conduct a risk review posed by applicants that includes which of the below?

a. Applicant’s institutional size
b. Applicant’s ability to effectively implement statutory, regulatory or other requirements
c. Applicant’s participant support costs
d. None of the above

A

b. Applicant’s ability to effectively implement statutory, regulatory or other requirements

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18
Q

Which of the below processes is intended to prevent waste, fraud and abuse in Federal procurement and non‐procurement actions and would exclude a company or individual from doing business with the Federal Government?

a. Termination for Cause
b. Non‐delinquency on Federal Debt
c. Debarment and Suspension
d. Federal Procurement Integrity Act

A

c. Debarment and Suspension

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19
Q

Universities are required to comply with the Office of Management and Budget Circular Uniform Administrative Requirements, Cost Principles, and ______ for Federal Awards (“Uniform Guidance”) as well as other federal requirements for certifying effort expended on sponsored awards.

What is the best answer?

a. Budget requirements
b. Audit requirements
c. Cost share requirements
d. Staff requirements

A

d. Staff requirements

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20
Q

To uncover new knowledge that will lead to better health for everyone. The federal medical research agency works toward that mission by: conducting research in its own laboratories; supporting the research of non‐Federal scientists in universities, medical schools, hospitals, and research institutions throughout the country and abroad; helping in the training of research investigators; and fostering communication of medical and health sciences information.

This is the mission statement to which federal agency?

a. Health Resources and Services Administration (HRSA)
b. National Institute of General Medical Sciences (NIGMS)
c. National Human Genome Research Institute (NHGRI)
d. National Institutes of Health (NIH)

A

d. National Institutes of Health (NIH)

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21
Q

Which of the following is NOT a standard proposal element?

a. Project goals and objectives
b. Plan of action
c. Introduction
d. Editorial page

A

d. Editorial page

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22
Q

Which of the following IS a characteristic of a Cooperative Agreement?

a. Sponsor initiated
b. Length of time is greater than five years
c. Requires multiple signatures for execution
d. No involvement from sponsor.

A

a. Sponsor initiated

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23
Q

Which of the following provides local review and oversight of research utilizing recombinant or synthetic nucleic acid molecules?

a. Institutional Review Board
b. Institutional Biosecurity Committee
c. Institutional Biohazard Committee
d. Institutional Biosafety Committee

A

d. Institutional Biosafety Committee

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24
Q

How many NIH Institutes and Centers award extramural research funding?

a. 21
b. 27
c. 24
d. 19

A

c. 24

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25
Q

How many NIH Institutes are there?

a. 21
b. 27
c. 24
d. 19

A

a. 21

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26
Q

How many NIH Centers are there?

a. 4
b. 5
c. 6
d. 7

A

c. 6

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27
Q

Which of the below are ways in which university personnel can “export” in violation of EAR?

a. Physical Export
b. Transmitting export controlled information or software electronically or digitally to a foreign country or foreign person
c. Use of export controlled technology on behalf or for the benefit of a foreign person or foreign country (Defense Service)
d. All of the above

A

d. All of the above

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28
Q

______ constitutes acceptance of award for NSF.

a. Drawdown of funds
b. Sending an invoice directly to NSF for expenses paid to support the grant.
c. AOR signing the award terms and conditions
d. Signed letter from PI

A

a. Drawdown of funds

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29
Q

Is not anchored to any single category of information or technology. Rather it requires a case by case assessment of the special risk that an individual can be identified. Which of the following terms best describes the information above?

a. Personally identifiable information (PII)
b. Non‐personally identifiable information (non‐PII)
c. Protected Personally identifiable information (Protected PII)
d. Research information

A

a. Personally identifiable information (PII)

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30
Q

Which of the below oversees the possession, use and transfer of biological select agents and toxins, which have the potential to pose a severe threat to public, animal or plant health or to animal or plant products?

a. Institutional Review Board
b. Institutional Biosafety Committee
c. Federal Select Agents Program
d. Federal Emergency Management Agency

A

c. Federal Select Agents Program

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31
Q

The field of biosafety is primarily dedicated to which of the following?

a. Preventing the loss of valuable research materials and limiting access to infectious material by individuals who would use them for harmful purposes
b. Regulating the possession, use, and transfer of agents with high adverse public health and/or agricultural consequences
c. Issuing permits for infectious agents of livestock and biological materials containing animal material
d. Protection of workers and the environment from exposures to infectious materials

A

d. Protection of workers and the environment from exposures to infectious materials

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32
Q

Dual use research (DUR) refers to which of the following?

a. Research that generates data and proprietary information for which the rights are shared by both the sponsor and grantee
b. Research that has significant potential for advancement in both the medical and technology industries
c. Research conducted for legitimate purposes that generated knowledge, information, technologies, and/or products that can be utilized for both benevolent and harmful purposes
d. Research resulting from joint funding initiatives of both the NIH and CDC

A

c. Research conducted for legitimate purposes that generated knowledge, information, technologies, and/or products that can be utilized for both benevolent and harmful purposes

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33
Q

Which of the following best describes NIH’s Just‐in‐Time (JIT) procedures?

a. Allows a first time PI the option to extend the application due date up to two days for his/her first K‐program application
b. Requires the applicant to determine that key personnel(s) visas will allow them to remain in the country long enough for them to be productive on the research project
c. When an applicant has had no prior Federal grants or cost‐reimbursement contracts, allows NIH to review the applicant’s financial management and other management systems before award, or within a reasonable time after award, to determine their adequacy and acceptability
d. Allows certain elements of an application to be submitted later in the application process, after review, when the application is under consideration for funding

A

d. Allows certain elements of an application to be submitted later in the application process, after review, when the application is under consideration for funding

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34
Q

Which of the following is NOT a common feature of the Notice of Award (NOA) document?

a. PI’s active and pending research support
b. Applicable terms and condition
c. Any restriction on the use of funds
d. CFDA Number and Program Name

A

a. PI’s active and pending research support

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35
Q

Which of the following reports summarizes progress made toward the achievement of scientific aims and identifies significant outcomes?

a. Research Performance Progress Report
b. Final Invention Statement and Certificates
c. Project Outcomes Report for the General Public
d. Federal Financial Report

A

a. Research Performance Progress Report

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36
Q

Which of the following is a characteristic of NIH’s R15, Academic Research Enhancement Award (AREA) Program?

a. Not limited in funding amount request
b. Limited to two years of funding
c. Grants are not renewable
d. Limited to $300,000 in direct costs

A

d. Limited to $300,000 in direct costs

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37
Q

NIH generally requires grantees to retain financial and programmatic records, records, supporting documents, statistical records, and all other records that are required by the terms of a grant for a period of:

a. 3 years from the project period end date
b. 3 years from the submission of Just in Time (JIT) information
c. 3 years from the date the Final Federal Financial Report (FFR) is submitted
d. The period required by the grantee’s internal record retention policy

A

c. 3 years from the date the Final Federal Financial Report (FFR) is submitted

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38
Q

Which of the following is characteristic of a successful proposal?

a. Persuades and justifies the need for the PI
b. Budget consistent with the scope of work
c. Discusses what will be done, why and how
d. Discusses what will be done, how and by whom

A

b. Budget consistent with the scope of work

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39
Q

Which of the following is not a true statement about negotiation?

a. Submission of a proposal is not yet a legal offer that could be accepted by the government
b. Negotiation begins upon proposal submission
c. Must be consistent with institution’s policies and procedures
d. None of the above

A

a. Submission of a proposal is not yet a legal offer that could be accepted by the government

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40
Q

Which of the following would serve the purpose of inviting proposals and specifying the general terms and conditions under which the relevant award can be made?

a. RFQ
b. BAA
c. RFP
d. None of the above

A

c. RFP

A request for proposal (referred to as RFP) is an invitation for suppliers to submit a proposal on a specific commodity or service.

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41
Q

The ethical principle that demands a research subject enter into a study voluntarily and with an adequate information is known as:

a. Beneficence
b. Respect for Persons
c. Justice
d. Informed Consent

A

b. Respect for Persons

Respect for persons requires that individuals are treated as agents who are capable of making judgments based on personal goals and acting based on considered deliberation. It also requires that those with diminished autonomy are protected.

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42
Q

Which of the following United States Department of Agriculture (USDA) programs provides capacity funding for colleges and universities?

a. Hatch Act
b. Specialty Crop Research Initiative (SCRI)
c. Agriculture and Food Research Initiative (AFRI)
d. Conservation Innovation Grants

A

a. Hatch Act

Note: answer choices B-D are all competitive programs for USDA, not capacity

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43
Q

Which of the following statements is the best description of the National Aeronautics and Space Administration (NASA) rules in funding foreign organizations?

a. NASA cannot directly fund foreign organizations, but foreign organizations can work on projects in a no-exchange-of-funds-basis
b. NASA can fund foreign organizations, except ones that are Chinese-owned.
c. NASA cannot directly fund foreign organizations, and foreign organizations cannot work on projects in any way.
d. NASA cannot directly fund foreign organizations, but any foreign organizations that are not Chinese-owned can work on projects in a no-exchange-of-funds basis.

A

d. NASA cannot directly fund foreign organizations, but any foreign organizations that are not Chinese-owned can work on projects in a no-exchange-of-funds basis.

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44
Q

In this clinical trial phase, an intervention is given to a large group of people and researchers monitor effectiveness particularly when compared to current treatments, and side effects. What phase is this statement referring to?

a. Phase III
b. Phase IV
c. Phase I
d. Phase II

A

a. Phase III

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45
Q

A Principal Investigator (PI) for X University wants to transfer radioactive materials that were shipped to their office to their lab for testing as part of a Department of Energy (DoE) award. Which group should the PI work with to ensure the transfer is authorized and moved properly:

a. Radiation Safety Committee
b. Institutional Animal Care and Use Committee (IACUC)
c. Institutional Review Board (IRB)
d. Institutional Biosafety Committee (IBC)

A

a. Radiation Safety Committee

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46
Q

Which of the following changes in general does not require prior approval during post-award stage for a National Aeronautics and Space Administration (NASA) award?

a. PI and Co-PI disengagement from the project for more than 3 months or 25% reduction in time.
b. Changes in scope or objective of the project
c. Directly charging capital expenditures for building and land use to the project
d. Initiating a one-time no-cost-extension of the period of performance by up to 12 months.

A

d. Initiating a one-time no-cost-extension of the period of performance by up to 12 months.

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47
Q

Per 2 CFR 200.204, which of the following is required to be included in notice of funding opportunity?

a. The Federal Agency’s Unique Entity Identifier
b. The amount of value added tax allowable on the budget
c. The allowable capitalization cost for equipment
d. Applicable terms and conditions for resulting awards.

A

d. Applicable terms and conditions for resulting awards.

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48
Q

“Our mission is to plan, deliver, operate and maintain a transportation system that is safe, enables easy movement of people and goods, enhances the economy and improves our quality of life.”

This is the mission statement to which federal agency?

a. Environmental Protection Agency (EPA)
b. National Institutes of Health (NIH)
c. Department of Education (DoEd)
d. Department of Transportation (DOT)

A

d. Department of Transportation (DOT)

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49
Q

Which of the following U.S Governmental agencies require personnel salaries to be capped at the current Office of Personnel Management (OPM) Executive Level II rate on grant budgets?

a. National Institutes of Health (NIH)
b. National Institute of General Medical Sciences (NIGMS)
c. National Institute of Justice (NIJ)
d. All of the Above

A

d. All of the Above

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50
Q

According to the Animal Welfare Act, which of the following is required to be a member of the Institutional Animal Care Use and Committee (IACUC)?

a. A scientist with animal research experience
b. A Doctor of Veterinary Medicine (DVM) with training/experience in lab animal science and medicine
c. A nonscientist who is affiliated with the organization
d. None of the above

A

b. A Doctor of Veterinary Medicine (DVM) with training/experience in lab animal science and medicine

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51
Q

Los Alamos National Lab is Federally Funded National Research and Development Center (FFRDC) for the Department of Energy (DOE). Which of the following best describes how it is owned and operated?

a. Government-Operated Contractor-Owned
b. Government Owned Contractor-Operated
c. Government Created Contractor Bought
d. Government Managed Contractor Retained

A

b. Government Owned Contractor-Operated

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52
Q

Which type of intellectual property (IP) agreement would you write to transfer tangible research material to a recipient that intends to use it for their own research?

a. Material Transfer Agreement
b. Trade Secret Agreement
c. Patent Licensing Agreement
d. Non-disclosure agreement

A

a. Material Transfer Agreement

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53
Q

Over the past 3 years, an institute of higher education (IHE) received most of its funding from the Defense Advanced Research Projects Agency (DARPA) based on reports from the National Science Foundation (NSF). Based on this information, who will be the IHE’s cognizant agency for indirect cost negotiation for the next 5 years?

a. National Science Foundation (NSF)
b. Defense Advanced Research Projects Agency (DARPA)
c. Office of Naval Research (ONR)
d. Department of Health and Human Services (DHHS)

A

c. Office of Naval Research (ONR)

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54
Q

Which of the following government publications serves as a comprehensive handbook of current federal government funding programs?

a. Federal Yellow Book
b. Annual Register of Grant Support
c. Guide to Funding in Higher Education
d. Catalog of Federal Domestic Assistance

A

d. Catalog of Federal Domestic Assistance

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55
Q

Which of the following is NOT a recognized indicator that a college or university has an audit management system which evidences that the institution is well managed?

a. Financial objectives, goals, and control procedures that are established and maintained
b. Systems of controls that adequately safeguard and account for the assets of the college or university
c. Systems of controls that adequately measure and ensure that resources are used economically and efficiently
d. A process to confirm that appropriate purchased insurance and bonding provisions are incorporated into grant and contract documents

A

d. A process to confirm that appropriate purchased insurance and bonding provisions are incorporated into grant and contract documents

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56
Q

If a grant includes items of equipment which came to the grantee institution as part of the award, the grantee institution

a. has legal responsibility for the equipment.
b. is not entitled to use, retain, or dispose of the equipment.
c. must transfer equipment if principal investigator leaves grantee institution.
d. is required to have a maintenance contract.

A

a. has legal responsibility for the equipment.

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57
Q

A research administrator (RA) serves as a primary liaison between the administrator’s organization and which of the following?

a. National Institutes of Health (NIH) Director
b. Program Officer
c. Grants Management Specialist
d. Director of the Office of Extramural Awards

A

c. Grants Management Specialist

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58
Q

Which of the following is most closely responsible, on a day-to-day basis, for enforcement of the Federal Animal Welfare Act?

a. Office of Human Research Protection
b. Animal and Plant Health Inspection Service
c. Department of Health and Human Services
d. American Association for Accreditation of Laboratory Animal Care

A

b. Animal and Plant Health Inspection Service

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59
Q

When can administrative costs be charged as direct costs on a Federal award?

a. Administrative costs can always be charged as direct costs with no justification needed
b. When an entity does not have a negotiated F&A rate
c. When services are integral to the project and are included in the budget or have sponsor approval and are not recovered as F&A
d. Administrative costs can never be charged as direct costs on federal awards

A

c. When services are integral to the project and are included in the budget or have sponsor approval and are not recovered as F&A

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60
Q

Which portal can be used to submit proposals to the National Institutes of Health?

a. Grants.gov
b. Fastlane.gov
c. Research.gov
d. SAM.gov

A

a. Grants.gov

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61
Q

An investigator responding to an NIH solicitation that allows up to $300K per year is only requesting $250K per year. Which budget type should be used?

a. Consortium budget
b. Detailed budget
c. Modular budget
d. Modified budget

A

c. Modular budget

62
Q

A Letter of Intent (LOI) is typically used for which purpose?

a. To invite full proposals for submission
b. To assemble review panels
c. In lieu of a full proposal
d. To outline commitments to a project

A

b. To assemble review panels

63
Q

Which of the following announcement types is for solicited applications?

a. Broad Agency Announcement
b. Funding Opportunity Announcement
c. Program Announcement
d. Request for Applications

A

d. Request for Applications

64
Q

Which of the following describes conducting research administration using electronic resources?

a. EAR
b. eRA
c. iEdison
d. RPPR

A

b. eRA

65
Q

Which of the following describes conducting research administration using electronic resources?

a. EAR
b. eRA
c. iEdison
d. RPPR

A

b. eRA

66
Q

Which is true of Executive Order 12372?

a. All states have a Single Point of Contact (SPOC) for intergovernmental review.
b. It is required for all federal assistance programs.
c. It is required for all federal procurement.
d. It allows for coordination and review of federal financial assistance and development programs.

A

d. It allows for coordination and review of federal financial assistance and development programs.

67
Q

Which is true of the FCOI regulation?

a. Only the PI/PD are subject to FCOI.
b. Significant Financial Interests (SFIs) must be reported.
c. Federal regulations determine sanctions to be taken if an investigator does not comply with FCOI
d. Only the institution is subject to FCOI.

A

b. Significant Financial Interests (SFIs) must be reported.

68
Q

The certification regarding payment to influence federal employees and transactions is which of the following?

a. The False Claims Act
b. The Lobbying Disclosure Act
c. The Federal Research Public Access Act
d. The Freedom of Information Act

A

b. The Lobbying Disclosure Act

69
Q

Under the America COMPETES Act, who must receive training on responsible conduct of research if involved with a federally-funded project?

a. The Principal Investigator
b. All Senior/Key personnel
c. All trainees, including undergraduate students, graduate students, and postdoctoral fellows
d. All personnel on the award

A

c. All trainees, including undergraduate students, graduate students, and postdoctoral fellows

this is changing with the amendment in July 31, 2023 to include faculty and other senior personnel too

70
Q

Dr. Simmons edited her data so that the results were significant and therefore publishable. Dr. Simmons committed which type of misconduct?
a. Fabrication
b. Falsification
c. Plagiarism
d. Authorship

A

a. Fabrication

more info https://ori.hhs.gov/definition-research-misconduct

71
Q

DHHS guidance on the use of animals in research applies to:

a. Mammals only
b. Living and deceased animals
c. Living vertebrates used or intended for research
d. Only mice, rats, and livestock

A

c. Living vertebrates used or intended for research

72
Q

An investigator at Stanford University is running samples in her center, analyzing the data, and serving as a co-Investigator on an NIH award to Johns Hopkins University. In this instance, the Stanford investigator is serving as a(n)…

a. consultant
b. contractor
c. subrecipient
d. Vendor

A

c. subrecipient

73
Q

Which publication contains a codification of general and permanent rules and regulations of the executive departments and agencies of the U.S. federal government?

a. Catalog of Federal Domestic Assistance
b. Code of Federal Regulations
c. Federal Register
d. FedBizOpps

A

b. Code of Federal Regulations

74
Q

Under which Title in the Code of Federal Regulations are the Federal Acquisition Regulations?

a. Title 2
b. Title 26
c. Title 45
d. Title 48

A

d. Title 48

75
Q

Which of the following agreement types should be used when sending or receiving tangible research materials?

a. Bailment agreement
b. Confidentiality agreement
c. Material transfer agreement
d. Non-disclosure agreement

A

c. Material transfer agreement

76
Q

A Principal Investigator must reduce her effort on a federally funded project from 10% to 5%. Is sponsor approval required and why?

a. Yes, because the reduction in effort is greater than 10%.
b. No, because the project includes a co-investigator who can oversee the project.
c. Yes, because the reduction in effort is greater than 25%.
d. No, because the reduction in effort does not constitute a change in project scope.

A

c. Yes, because the reduction in effort is greater than 25%.

77
Q

For which of the following actions might a Federal agency waive prior written approvals?

a. A reduction in PI effort greater than 25%
b. A change in key personnel specified in the award
c. A change in the approved cost-sharing commitment
d. Carry forward of unobligated balances to subsequent funding periods

A

d. Carry forward of unobligated balances to subsequent funding periods

78
Q

Which of the following must be in place for Federal contracts that exceed a designated threshold in aggregate costs?

a. Multiple Principal Investigator Leadership Plan
b. Other Support documentation for all key personnel
c. Small Business Subcontracting Plan
d. State Single Point of Contact Review

A

c. Small Business Subcontracting Plan

79
Q

Which of the following agencies oversees dual-use materials?

a. U.S. Department of Commerce
b. U.S. Department of Treasury
c. U.S. Department of the State
d. U.S. Department of Foreign Assets

A

a. U.S. Department of Commerce

80
Q

A dual-use item is one that has a potential _________ application.

a. Commercial
b. Foreign
c. Military or strategic
d. Trade

A

c. Military or strategic

81
Q

The Fundamental Research Exclusion applies to which of the following:

a. Technology and software that results from fundamental research and is intended to be in the public domain.
b. Research funded by the U.S. government that contains protected information.
c. Research involving foreign nationals
d. Research that falls under either EAR or ITAR.

A

a. Technology and software that results from fundamental research and is intended to be in the public domain.

82
Q

Which of the following is true regarding certification of compensation charged to a sponsored award?

a. Only senior personnel are required to certify their effort on Federal awards
b. Methods for verifying and certifying are detailed in 2 CFR § 200 (Uniform Guidance).
c. Institutions receiving less than the audit threshold in Federal funding do not have to certify compensation on Federal awards.
d. Certification must be supported by a system of internal control that provides reasonable assurance that the charges are accurate, allowable, and properly allocated.

A

d. Certification must be supported by a system of internal control that provides reasonable assurance that the charges are accurate, allowable, and properly allocated.

83
Q

In accordance with Federal cost principles, which is an allowable charge on a Federal award?

a. Sponsor approved pre-award spending
b. Proposal preparation costs
c. Costs for travel to disseminate research results outside of the project period.
d. Costs for meals for staff working late on a project

A

a. Sponsor approved pre-award spending

84
Q

Which of the following is a best practice of a recharge or service center operation?

a. Recharge center activity costs are included in the general indirect cost rate.
b. Billing rates are adjusted based on surplus balances.
c. External customers are billed at a reduced rate in order to avoid competition with local businesses.
d. Surplus balances are used to fund unrelated activities

A

b. Billing rates are adjusted based on surplus balances.

85
Q

Which of the following is an acceptable justification for a cost transfer?

a. To allocate costs between projects to cover overruns
b. To transfer proposal preparation costs onto an award
c. To remove unallowable costs
d. To spend down an award

A

c. To remove unallowable costs

86
Q

Which of the following is a Cost Accounting Standard (CAS)?

a. Consistently follow established cost accounting practices when estimating, accumulating, and reporting costs.
b. Identify and justify unallowable costs from proposals and claims.
c. Adjust the accounting period accordingly when estimating, accumulating, and reporting costs.
d. Identification of all costs in the Institution’s F&A cost base.

A

a. Consistently follow established cost accounting practices when estimating, accumulating, and reporting costs.

87
Q

A land-grant institution purchases ewes on a Federal award. One of the ewes gives birth and its offspring are sold at auction. Which is true of the income earned by the sale of the ewe?

a. The income is considered program income and must be reported to the Federal sponsor.
b. The income is considered proceeds from the sale of Federal property and the Federal sponsor should be compensated.
c. The income is considered Institutional revenue and can be retained by the institution.
d. The income is considered program income and can be added to the award.

A

b. The income is considered proceeds from the sale of Federal property and the Federal sponsor should be compensated.

88
Q

Which of the following is a procurement standard under Uniform Guidance?

a. Micropurchases may be awarded without soliciting competitive quotations.
b. Sealed bids must be obtained for any item or service greater in cost than the micropurchase threshold. Sealed bids needed for purchases above the small purchase threshold.
c. Proposals must be solicited from at least three (3) qualified sources for competitive proposals. UG says ‘from an adequate number of qualified sources.’
d. Uniform guidance prohibits noncompetitive procurement for items or services greater in cost than the micropurchase threshold. A case may be made for ‘soul source’ purchases.

A

a. Micropurchases may be awarded without soliciting competitive quotations.

89
Q

Which of the following is true of Federal Financial Reports?

a. All expenses included must be allowable.
b. Reports must be signed by the Principal Investigator.
c. All Federal awarding agencies use iEdison for financial reporting.
d. Financial reporting is not required for non-research projects

A

a. All expenses included must be allowable.

90
Q

Which is true in general regarding equipment ownership?

a. Title to the equipment vests with the Federal awarding agency.
b. During the project, equipment cannot be used on other Federal awards.
c. Title to the equipment vest with the non-Federal entity unless otherwise specified.
d. Equipment must be returned to the Federal awarding agency after the project ends.

A

c. Title to the equipment vest with the non-Federal entity unless otherwise specified.

91
Q

For how long should Federal award-related records be maintained according to Federal requirements?

a. Three years
b. Four years
c. Five years
d. Six years

A

a. Three years

92
Q

When does the clock on record retention begin for documents related to a Federal award?

a. On the project start date listed in the award.
b. On the date of submission of the final expenditure report.
c. On the project period end date listed in the award.
d. On the budget period end date listed in the award.

A

b. On the date of submission of the final expenditure report.

93
Q

When does the Federal fiscal year end?

a. April 15
b. June 30
c. September 30
d. December 31

A

c. September 30

94
Q

Federal audit requirements can be found in which subpart of Uniform Guidance?

a. Subpart A
b. Subpart D
c. Subpart E
d. Subpart F

A

d. Subpart F

95
Q

Which of the following is an example of a good internal control?

a. Engaging in a Single Audit when federal expenditures are above a set threshold.
b. Yearly updating fringe benefit rates in the adopted system for budget development.
c. Establishing shadow systems for accounting transactions.
d. Monthly reconciliation of unit transactions

A

d. Monthly reconciliation of unit transactions

96
Q

The process where the government and prime recipient agree to terms of award:

a. proposal
b. negotiation
c. award

A

b. negotiation

97
Q

Contracting officers must prepare solicitations and contracts using the uniform contracting format as dictated by:

a. the FAR
b. the OMB
c. the sponsoring agency
d. the type of funding mechanism

A

a. the FAR

must be:
Part I - Schedule
Part II - Contract Clauses
Part III - List of documents, exhibits, and other attachments
Part IV - representations and instructions

98
Q

What is the purpose of the FAR?

a. establish uniform acquisition procedures for all federal agencies
b. minimize administrative operating costs
c. obtain services at the best value to the government
d. promote competition among government contractors
e. all of the above

A

e. all of the above

99
Q

A Time and Management agreement is ________________ for a University.

a. appropriate
b. not appropriate

A

b. not appropriate

T&Ms allows a Sponsor to acquire supplies or services based upon specific labor hours and actual material costs. Because Universities do not track time using an hourly time-keeping system, it is impossible for us to report and certify hours on an invoice.

100
Q

A _______________ is issued when a set quantity of goods or services are needed, but not known or specified (although there can be minimums and maximums.) The Sponsor issues Task Orders for the delivery of the goods or performance of the services during the life of the contract.

a. cooperative agreement
b. time and materials agreement
c. material transfer agreement
d. indefinite delivery/indefinite quantity agreement

A

d. indefinite delivery/indefinite quantity agreement

101
Q

A ________________ has not received an OTA (other transaction authority agreement) within the past year and is not fully subject to the federal Cost Accounting Standards or providing certified cost or pricing data.

a. Traditional OTA
b. non-traditional OTA

A

b. non-traditional OTA

102
Q

What is an OTA (other transaction authority agreement) ?

a. standard procurement contract, grants or agreement
b. generally subject to federal laws and regulations for procurement contracts (FAR and DFARS)
c. no specific competitive procedures (sole source permitted)
d. unlimited in their scope

A

c. no specific competitive procedures (sole source permitted)

103
Q

What is an OTA (other transaction authority agreement) typically used for?

A

For DOD to quickly engage industry and academia of research and prototyping (like weapon systems)

104
Q

What is the FAR?

A

Federal Acquisition Regulation

Title 48 of the Code of Federal Regulations

105
Q

Which of the following is NOT a characteristic of a cooperative agreement?

a. substantial government involvement is anticipated
b. government has no IP rights
c. not subject to FAR
d. cost share may be required

A

b. government has no IP rights

Government receives paid-up license and march-in rights to IP.

106
Q

Which of the following is NOT a characteristic of a grant?

a. primary objective to advance science for benefit of public
b. publication is discouraged
c. primarily for basic and applied research
d. no fee or profit allowed

A

b. publication is discouraged

results should always be made public

107
Q

A ____________ agreement is the Sponsor determines that the price quoted is reasonable and does not want to give the Contractor an opportunity to adjust their price based upon actual expenses incurred during performance. The completion of a task/milestone usually renders a payment due. Easy to administer but poses a slight risk to the Contractor.

a. cooperative
b. grant
c. fixed price
d. cost reimbursable

A

c. fixed price

108
Q

A ____________ agreement is when the Contractor is reimbursed for allowable costs incurred during contract performance. A total cost estimate is prepared and the award contains a ceiling that may not be exceeded without Sponsor approval. Uniform guidance principles apply.

a. cooperative
b. grant
c. fixed price
d. cost reimbursable

A

d. cost reimbursable

109
Q

What is the purpose of a contract? To establish a legal relationship:

a. for proposed research and specific deliverables
b. setup an assistance award
c. obligate the seller to furnish supplies/services to the buyer
d. none of the above

A

c. obligate the seller to furnish supplies/services to the buyer

110
Q

A ________ is used whenever there will be substantial Federal scientific or programmatic involvement. Substantial involvement means that, after award, the sponsor’s scientific or program staff will guide, coordinate or participate in the project activities

a. grant
b. cooperative agreement
c. contract
d. firm fixed price agreement

A

b. cooperative agreement

111
Q

A ________ is used whenever a sponsor anticipates no substantial programmatic involvement with the recipient during the performance of the project - the recipient conducts the work independently and reports the results to the sponsor.

a. grant
b. cooperative agreement
c. contract
d. firm fixed price agreement

A

a. grant

112
Q

How long is Phase 2 of an SBIR/STTR?

a. 6 months
b. 12 months
c. 18 months
d. 24 months

A

d. 24 months

113
Q

How long is Phase 1 of an STTR?

a. 6 months
b. 12 months
c. 18 months
d. 24 months

A

b. 12 months

114
Q

How long is Phase 1 of an SBIR?

a. 6 months
b. 12 months
c. 18 months
d. 24 months

A

a. 6 months

115
Q

What is Phase 1 of an SBIR/STTR?

a. Startup or Feasibility
b. Expand or Prototype Development
c. Marketplace or commercialization
d. none of the above

A

a. Startup or Feasibility

116
Q

_________ requires partnership with a research institution.

a. SBIR
b. STTR
c. neither
d. both

A

b. STTR

117
Q

How many possible phases are there for an STTR?

a. one
b. two
c. three
d. four

A

b. two

118
Q

How many possible phases are there for an SBIR?

a. one
b. two
c. three
d. four

A

c. three

119
Q

What are eligibility requirements for a Small Business concern?

a. American-owned (at least 51%)
b. for-profit
c. company limited to 500 employees
d. all of the above

A

d. all of the above

additionally, all work must be done in the US and the focus must be on R&D

120
Q

Is re-budgeting required for NIH modular budgets?

a. yes
b. no

A

b. no - the terms and conditions of the award eliminate the 25% re-budgeting requirement.

121
Q

How much is each module of costs in an NIH modular budget?

a. $10,000
b. $15,000
c. $20,000
d. $25,000

A

d. $25,000

122
Q

Which funding mechanisms typically allow for an NIH modular budget?

a. SBIR/STTR
b. Training Grants
c. Research Grants
d. Development Grants

A

c. Research Grants

Research grants, including R01, R03, R15 and R21.

Never allowed for SBIR/STTRs

123
Q

Up to what amount of direct costs per budget period are NIH modular budgets allowable?

a. $200,000
b. $225,000
c. $250,000
d. $275,000

A

$250,000 direct costs per year

124
Q

If using an NIH modular budget, what type of budget justification is always required?

a. detailed
b. personnel
c. consortium
d. additional narrative
e. b, c, d

A

b. personnel

sometimes c and d are also required too, but not always.

125
Q

NIH grant recipients such as universities should use to receive funds for grant expenses.

a. Drawdown funds from ASAP System
b. Send an invoice directly to NIH for expenses paid to support the grant
c. NIH sends a check in advance for the awarded research grant
d. Payment Management System

A

d. Payment Management System

126
Q

What type of information is generally releasable as defined in the Freedom of Information Act?

a. Confidential
b. Attorney Client Privilege
c. Information in the Public Domain
d. Internal pre-decisional government documents

A

c. Information in the Public Domain

127
Q

What type of information must be withheld according to the Freedom of Information Act?

a. Tax ID
b. Unsuccessful Offers
c. Classified Docs
d. all of the above

A

d. all of the above

128
Q

What NIH website allows for the creation and management of senior personnel documents - Biosketches and Current & Pending Support documents?

a. eRA Commons
b. RePORTER
c. SciENcv
d. none of the above

A

c. SciENcv

129
Q

What system do organizations need to register with in order to do business with the US government?

a. iEdison.gov
b. SAM.gov
c. whitehouse.gov
d. OMB.gov

A

b. SAM.gov

130
Q

What is NIH’s site for admin?

a. eRA Commons
b. RePORTER
c. SciENcv
d. none of the above

A

a. eRA Commons

131
Q

What is NIH’s site for searching overall award information?

a. eRA Commons
b. RePORTER
c. SciENcv
d. none of the above

A

b. NIH RePORTER

132
Q

What is the governmental inter-agency online reporting system for reporting inventions stemming from federal funding, as well as completing other Bayh-Dole Act requirements?

a. iEdison.gov
b. patent.gov
c. bayh-dole.gov
d. inventions.gov

A

a. iEdison.gov

133
Q

What is the gateway to government opportunities, acquisition and grants portal?

a. USAspending.gov
b. CFDA.gov
c. Grants.gov
d. FedConnect.net

A

d. FedConnect.net

134
Q

What is the searchable database for federal awards?

a. USAspending.gov
b. CFDA.gov
c. Grants.gov
d. FedConnect.net

A

a. USAspending.gov

135
Q

Which website allows you to instantly verify someone’s eligibility to work in the US?

a. immigration.us.gov
b. workUS.gov
c. E-Verify.gov
d. none of the above

A

c. E-Verify.gov

136
Q

What is a central software/proposal system utilized by many non-profits, government agencies and some private organizations?

a. Centralproposal
b. proposalCentral
c. GrantsCentral
d. CentralGrants

A

b. proposalCentral

137
Q

What kind of ID is granted to an article registered with PubMed?

a. PMID
b. PMCID
c. PCMID
d. PID

A

b. PMCID

138
Q

What is the NIH sponsored full-text repository site to upload articles to comply with NIH’s open access policy?

a. Bibliography Central
b. PubMed Central
c. NIH Pub Central
d. PubBio Central

A

b. PMC - PubMed Central

139
Q

What is DOE’s online system?

a. EERE
b. PAMS
c. NSPIRES
d. INL

A

b. PAMS - Portfolio Analysis and Management System

although there are also EERE exchange and INL

140
Q

What is NASA’s online system?

a. EERE
b. PAMS
c. NSPIRES
d. NASA

A

c. NSPIRES

141
Q

What is the initiative to reduce administrative burden associated with research grants and contracts?

a. OMB
b. FDP
c. CFDA
d. none of the above

A

b. FDP

Federal Demonstration Partnership

142
Q

What type of information may be withheld according to the Freedom of Information Act?

a. Confidential
b. Attorney Client Privilege
c. Internal pre-decisional government documents
d. all of the above
e. none of the above

A

d. all of the above

143
Q

What is the process of assigning a cost or group of costs to one or more cost objectives in reasonable proportion to the benefit provided?

a. costing
b. cost-allocation
c. cost analysis
d. cost proposals

A

b. cost-allocation

144
Q

What types of service centers are there?

a. Specialized Service Facility
b. Recharge Activities
c. Service Facility
d. all of the above

A

d. all of the above

145
Q

A Service Center is established and operated by a Non-Federal institution’s (ex: IHE) department for the purpose of providing highly specialized goods and services to other departments (and/or external customers) for a fee based on a cost-recovery model.

a. True
b. False

A

a. True

146
Q

Standard(Long Form) –for IHEs that receive > $10 Million in federal funding per fiscal year

Simplified–may be used when IHE receives < $10 Million in federal funding

Salaries and Wages Base(commonly used by Hospitals)

A
147
Q


Micro-Purchase Threshold (set by the FARs):

Increased from $3,500 to $10,000 (eff Aug 31, 2020)

Allows for expedited purchases that do not require competitive bidding

Simplified Acquisition Threshold (set by the FARs):

Increased from $150,000 to $250,000 (eff Aug 31, 2020)

A
148
Q

all Federal subawards must be reported to the Federal Spending Reporting System (FSRS) database by the last day of the following month of issuance.

Federal Funding Accountability and Transparency Act (FFATA) 31 USC §6101

A
148
Q

all Federal subawards must be reported to the Federal Spending Reporting System (FSRS) database by the last day of the following month of issuance.

Federal Funding Accountability and Transparency Act (FFATA) 31 USC §6101

A
149
Q

all Federal subawards must be reported to the Federal Spending Reporting System (FSRS) database by the last day of the following month of issuance.

Federal Funding Accountability and Transparency Act (FFATA) 31 USC §6101

A

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