Grants Policies and Procedures

RMS360

JDRF is a leader in setting the agenda for type 1 diabetes (T1D) research worldwide, and is the largest charitable funder of and advocate for T1D research. The mission of JDRF is to find a cure for diabetes and its complications through the support of research.

The JDRF Grant Policies and Procedures document provides policy requirements that serve as the terms and conditions for all JDRF funded grants. These JDRF Grant Policies and Procedures apply to all U.S. and international grantees. JDRF is committed to ensuring that all Board-mandated grants management and oversight requirements are met. To accomplish this goal, JDRF-funded organizations/institutions must comply with the grant policies and requirements outlined here. The JDRF Research Department, including both the research scientists and grants administration team, is responsible for the oversight and management of JDRF funded grants.

JDRF allows grantees to manage their grant’s day-to-day activities following their organization/institution’s established policies, procedures, and practices, as long as they are equivalent to (or more rigorous than) JDRF policy and requirements. By accepting the grant, the grantee and his/her organization/institution effectively agree to the policies and procedures set forth in this document. It is the responsibility of the organization/institution’s Administrative and Financial Officials to ensure that all documentation submitted to JDRF conforms to all policies and procedures set forth.

For questions regarding any administrative component of this document, please contact your appointed JDRF Grant Contact.

Table of Contents


RMS360

Overview
JDRF manages most of its grants through RMS360, a web-based grants management system designed to facilitate the grantee’s submission of materials from activation through closeout. The grant funding letter will clearly indicate whether a particular grant will be managed through our web-portal or offline.

All reports, including activations, renewals, quarterly progress reports, and expenditure reports must be submitted in RMS360, unless otherwise indicated. JDRF Grants Administration personnel sends reminder emails that include the RMS360 link and usernames in advance of grants’ reporting deadlines. In addition, unless otherwise instructed by your appointed JDRF Grant Contact, all other grant materials (i.e. IRB/IACUC, No Cost Extension, Publications, Key Personnel Changes, etc.) should be submitted via RMS360.

Logging In
For each grant managed in RMS360, there are currently two designated users: the Principal Investigator and the Financial Official. Details regarding the roles and responsibilities of the JDRF grantees can be found in Grantee Roles and Responsibilities.

JDRF sends two notices of awards or funding notifications for each funded grant. Each notice includes the RMS360 username and RMS360 link. These notices go to the Principal investigator and to the Financial Official. In order to login, go to RMS360, enter your username and password. If you are unsure of your password, please enter your username, and click “Forgot Password.” An email will be sent to the associated email address containing your password. Please note that usernames are initially generated based on the email addresses provided at application. Once a grant is activated, usernames are generated using the email addresses submitted on the Contact Details page of an activation or renewal.

Logging intoRMS360 and accepting the JDRF Terms and Conditions is the first step to activate your new funded grant.

For grants not managed in RMS360: Please note that most of the policies and procedures are written for grants managed in RMS360. While the same policies apply for all JDRF grants, the process for completing grant requirements will differ for grants managed outside of RMS360. In most cases, reporting materials should be submitted via email to your JDRF Grant Contact. In order to obtain reporting templates or clarify the process for submission, please contact your JDRF Grant Contact.

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Grantee Roles & Responsibilities

The roles and responsibilities of JDRF grantees are as follows:

Principal Investigator (PI): The PI is designated by the institution/organization and is the individual responsible for the scientific or technical aspects of the grant and for day-to-day management of the project. The PI is responsible and accountable to his/her institution/organization for the proper conduct of the grant, including the submission of all required reports.

RMS360: The Principal Investigator has access to all reporting materials in RMS360for his/her grant(s). He/She may complete most sections of the activation and renewal and may upload materials in the expenditure report but does not have the authority to submit these reports (please see Financial Official below). In addition, he/she can complete and submit numerous other reporting items in RMS360 as needed throughout the lifecycle of the award.

Administrative Official: The Administrative Official is designated by the institution/organization and is responsible for the proper administration of the grant including, but not limited to, overseeing submission of the grant activation, renewals, and additional materials required according to JDRF Policies and Procedures (i.e., reallocation requests, carry forward requests, Key Personnel Percent Effort Change).

RMS360: Please note that the individual entered as the Administrative Official does not currently have a designated username in RMS360. This individual should work with the Financial Official to access grant activations and renewals as appropriate. For other reporting items, he/she should work with the PI as needed.

Financial Official: The Financial Official is designated by the institution/organization and is responsible for the proper accounting of grant funds and submission of payment details. In this role, the individual is required to complete and certify the required yearly expenditure reports.

RMS360: The Financial Official has access to the activation, renewals and expenditure reports for assigned grants. In this role, the individual is required to complete the expense column in the expenditure report, certify that the information included in the report is accurate, and submit the report. In addition, the individual is required to complete the payment details for activations and renewals, certify that the information in the reports is accurate, and submit the reports.

It is the responsibility of the Financial Official to ensure that all contact information for the grant’s designated PI, financial, and administrative officials is correct.

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Terms & Conditions of JDRF Awards

Policy Requirements


1.1 Human Subjects & Animal Welfare

1.1.1 Institutional Animal Care and Use Committees and Institutional Review Boards
JDRF follows U.S. National Institutes of Health (NIH) Guidelines for the humane care and use of animals in research and for the use of human subjects in research. According to U.S. Federal law, institutions that use laboratory animals for research or instructional purposes must establish an Institutional Animal Care and Use Committee (IACUC) to oversee and evaluate all aspects of the institution’s animal care and use programs, facilities, and procedures. Institutions that utilize human subjects in research as defined by the federal government must establish an Institutional Review Board (IRB) or Ethical Committee (EC). See NIH’s federal guidelines for more information.

1.1.2 JDRF Requirements
Grantees are expected to comply with all local government regulations regarding the participation of human subjects and the use of animals in research.

All projects with human subjects and/or animal research must have up-to-date ethical approval documentation at all times and must provide JDRF with copies of the approval documentation. It is the responsibility of the PI and/or his/her institution/organization to ensure that JDRF receives required, up-to-date documentation throughout the duration of the project.

For all projects that require IRB/EC review, the investigator must provide:

  1. The most recently approved Study Protocol submitted to the institutional IRB/EC for review and
  2. The approved informed consent documents associated with a given protocol (if applicable).

Any changes to these documents should be submitted to JDRF as approved. In the event that the IRB/EC has determined that the study is exempt, the documentation demonstrating that designation must be submitted.
Ethical approval forms submitted in a language other English require a cover letter signed by the grantee’s department head (in English) verifying the content of the form.

If applicable, current human and/or animal ethical approval forms must be submitted via RMS360 with activation/renewal materials and as they expire. Grantees are required to provide additional verification that the ethical approval is applicable and specific to the JDRF award in question. (A checkbox for this purpose is provided to grantees on RMS360).

1.1.2.1 Multi-Project Grants
For all multi-project grants, an IRB/IACUC approval must be submitted, if applicable, for each project and core. If the approval is not specific to that particular project/core, grantees must submit the additional IRB/IACUC form, signed by an administrative official, stating that the particular project/core is covered by the approved protocol.

If applicable, current human and/or animal ethical approval forms must be submitted to the appropriate JDRF Grant Contact with activation/renewal materials and as they expire. Grantees are required to provide additional verification that the ethical approval covers the JDRF award in question. Your JDRF Grant Contact will provide the verification form if necessary.

1.1.3 International Institutions
International institutions are required to follow the JDRF guidelines above.

1.2 Confidentiality
Most grant materials submitted to JDRF, including quarterly, milestone and annual progress reports, are for internal JDRF use only. Exceptions include the lay abstract and the annual web progress reports. These will be shared with the public and grantees should not include any data that is not meant for public disclosure in these materials. If you have any concerns or questions regarding inclusion of information in a particular report, please contact the applicable JDRF Grant Personnel.

1.3 Conflict of Interest
In the interest of maintaining objectivity in research, JDRF must ensure that its grant processes are free from conflicts of interest. JDRF recognizes that grantees are involved in a variety of organizations and projects, and may hold financial investments, which may create actual or potential conflicts of interest, or the appearance of a conflict.

Grantees’ organizations/institutions are expected to have established policies about, and safeguards against, conflict of interest. Grantees’ organizations/institutions should have protection in place that prevent grantees and their employees or consultants/subcontractors from using their positions for personal gain (for themselves, or for other individuals, friends, business associates, family members, or others), financially or via gifts, favors, or other similar actions. Grantees’ organizations/institutions are also responsible to ensure that all aspects of JDRF-funded research are not influenced by conflicts of interest, financial or otherwise. Each organization/institution is required to have written guidelines to prevent such conflicts of interest, reflecting applicable institution/organization policy, along with state and local laws.

Organizations/institutions that have identified conflicts of interest as they relate to JDRF-funded research should report these conflicts of interest, in writing, to the applicable JDRF Grant Personnel as soon as possible. Refer to NIH Guidelines for additional regulations to use as your organization’s/institution’s conflict of interest guidelines.

1.4 Scientific & Financial Misconduct
Each organization/institution is expected to have its own policies and procedures for the avoidance and reporting of scientific and financial misconduct, and is expected to enforce those guidelines (when applicable) to any JDRF-funded research. Agreeing to the terms and conditions of JDRF awards (in the initial agreement screen in the JDRF Grant Management Portal) effectively acknowledges that the institution has such established policies and procedures and agrees to abide by them while conducting research or other activities relating to the JDRF award. In addition, JDRF follows the NIH’s research misconduct guidelines, which are defined as “fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.”

JDRF grantees are required to report any instances of scientific or financial misconduct to JDRF as soon as they are aware of the misconduct. Should scientific or financial misconduct occur, the organization/institution must notify JDRF, in writing, of the nature of the violation, the corrective actions that will be taken in order to correct the violation, and a timeline in which those corrective actions will be executed. JDRF may elect to place the grantee on administrative probation, may withhold funds, may request the return of funds as deemed appropriate, or may take other corrective action during this time period. If, at the end of the grantee’s designated timeline for taking corrective action, the action has not been taken or does not meet JDRF standards, JDRF may elect to terminate the award or continue other corrective actions, if applicable. In the case of scientific misconduct, if the violation is severe, or if public health, human, or animal welfare requires urgent action, JDRF may elect to immediately terminate the award (see the Award Termination section, below).

A grantee’s failure to comply with its own institution’s ethical and financial guidelines and/or JDRF’s guidelines, as defined above, may result in modification of the terms of the award, payment suspension, administrative probation, or award termination.

1.5 US Economic Sanctions, Anti-Terrorism Laws & Anti-Money Laundering Laws
The JDRF grantee is expected to comply with applicable United States economic sanctions, anti-terrorism laws, and anti-money laundering laws, including, but not limited to, the USA PATRIOT Act, the laws administered by the United States Treasury Department’s Office of Foreign Assets Control, Executive Order 13224, and any local laws that apply in the jurisdiction in which the JDRF grantee is operating. This provision must be included in all relevant subcontracts/subawards, when applicable.


1.6 US State Laws
For institutions goverened by US State Law, State Law presides when in conflict with JDRF Policies. The Grantee Institution must provide a copy of the US State Statute as well as proposed modified language to the assigned post award administrator.

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2. Payment


2.1 Payment Method
All payments are made via Electronic Fund Transfer (EFT) unless otherwise specified. However, should a check be issued (in extenuating circumstances), checks will be made payable to an institution, university, company, fund, or equivalent organizational entity. Under no circumstances will JDRF make payment to an individual, whether that person is the principal investigator or an individual within the grantees’ institution.

JDRFI awards are issued in USD. All payments are processed in USD. JDRFI is not liable for exchange rate fluctuation. All invoices and financial reports submitted to JDRFI must be denominated in USD.

*Exceptions for invoices received in local currency include when a foreign major donor or the affiliate has agreed to pay the award

For most grants managed in JDRF’s Grant Management Portal, only the designated Financial Official may enter payment information in the Payment Details section of the activation and renewal(s). Principal Investigators do not have authority to complete the Payment Details section in RMS360. Please contact JDRF Grant Personnel should you have questions.

2.1.1 Required Payment Details for Domestic Grantees
For domestic grants, the Financial Official is required to provide the following information: payee name, depository (bank) name, depository address (street, city, state, zip code), routing/ABA #, account #, and the institution/organization’s EIN.

2.1.2 Required Payment Details for International Grantees
For international grants, the Financial Official is required to provide the following information: name on account, bank name, bank address, sort code, Swift/BIC code, account #, and IBAN.

2.1.3 Required Payment Details All Grantees
A PDF of a letter from the institution’s bank certifying the payment details entered is required for all grants. The letter should be on the bank’s official letterhead. If the letter is in a language other than English, it must be accompanied by a letter (in English) from the institution translating the certification. This letter must be signed by the authorized Financial Official. For grants managed in RMS360, the letter(s) must be uploaded on the Payment Details section of the activation and renewal(s).

2.2 Payment Schedules & Terms
Payment schedules and terms differ by award type. These categories, and their associated award types, are as follows:

2.2.1 One Payment per Year
Applicable to grants up to $250,000 (total yearly budget) that do not have an established milestone timeline. This includes but is not limited to the following JDRF grant mechanisms:

  • Innovative Grants
  • Postdoctoral Fellowships
  • Advanced Postdoctoral Fellowships
  • Career Development Awards
  • Early-Career Patient Oriented Diabetes Research Awards
  • Priority Research Grants
  • High-Priority, Short-Term Bridge Grants

Payment Terms:

  • First Year: One payment in the amount of the approved Year 1 budget made upon grant activation following successful completion/submission of all required materials.
  • Renewal years: One payment in the amount of the approved yearly budget made upon completion of yearly renewal (annual progress) and previous year’s expenditure report.
  • Final year: Two payments. JDRF withholds 10% of the total award or the remaining balance, whichever is least, until receipt of all final reports.
  • Holding: Should any required documentation (renewals, expenditure reports, IRB/IACUC, etc) become past due, all payments will be held until those overdue items have been submitted and approved.

2.2.2 Quarterly Payments
Applicable to non-clinical grants with quarterly progress reports. These grant types embody cooperative development of a research plan, interim quarterly reporting on milestones and interaction with JDRF scientists prior to and during the award period. The budget and duration of funding are variable and continued funding is based on satisfactory effort and quarterly progress on milestones. This includes but is not limited to the following JDRF grant mechanisms:

  • Strategic Research Agreements

Payment Terms:

Payments are made quarterly and are tied to submission of a progress report (initial payment made at grant activation). Progress reports must be submitted via RMS360 on a quarterly basis detailing progress made towards scientific milestones. The ‘Quarterly Progress Report’ template is available in the templates section of RMS360. Both scientific and grants administration personnel will approve submitted progress reports.

  • First year: Payment made at activation and upon JDRF receipt and approval of progress reports.
  • Renewal years: Payments made upon JDRF receipt and approval of progress reports.
  • Final year: The final year will be split into 5 payments. Payments will be made the same as renewal years except the final (5th) payment will be held until all final reports are submitted and approved.
  • Holding: Should any required documentation (renewals, expenditure reports, IRB/IACUC, etc) become past due, all payments will be held until those overdue items have been submitted and approved.

2.2.3 Invoices per a Contract
Applicable to contract-based grants. This includes but is not limited to the following JDRF grant mechanisms:

  • Industry-based awards (IDDP)

Payment Terms:

Payment schedule and award requirements are described in the award contract and all payments are tied to an invoice and/or achievement of a milestone as detailed in a scientific progress report, if applicable. Note: If the first milestone is for payment upon execution of the contract agreement, no invoice is required

2.2.4 Clinical Milestone Based Payments
Applicable to all clinical grants with milestone timelines. This includes but is not limited to the following JDRF grant mechanisms:

  • Strategic Research Agreements

Payment Terms:

Payments are tied to a scientific milestone (initial milestone may be award activation). Amount for each milestone is determined prior to award activation. An invoice must be submitted to the appointed JDRF Grant Contact via email for each milestone achieved. Both scientific and grants administration personnel will approve submitted invoices.

  • First year: Payment made upon JDRF receipt and approval of invoice. Note: If the first milestone is for start-up fees, no invoice is required.
  • Renewal years: Payments made upon JDRF receipt and approval of invoice.
  • Final year: Same as renewal years, except final payment held until all final reports are submitted and approved (Final milestone).
  • Holding: Should any required documentation (renewals, expenditure reports, IRB/IACUC, etc) become past due, all payments will be held until those overdue items have been submitted and approved.

2.2.5 Other
Applicable to grants that do not fall within categories 2.2.1 – 2.2.4 and have special payment terms as designated at funding.

Payment Terms:
Payment terms will vary per grant. Grantee will be made aware of payment terms at the time of funding.

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3. Cost Considerations


3.1 Cost Principles
Expenses within each grant year’s budget and within the expenditure report should reflect the JDRF approved budget for the grant budget period. A grant’s expenses must be allowable, allocable and reasonable as per the cost principles appropriate for the institution/organization (domestic institutions, please see chart below), this document, and/or set forth in a contract, agreement or memorandum of understanding (MOU) before grant activation. Funds’ expenditure must be allocated appropriately between direct and indirect costs. Expenditures in excess of the approved yearly budget are not allowed. Negative balances cannot be carried into future budget periods in most instances. All funds exceeding the amount awarded by JDRF must be reconciled within the PI’s institution.

Cost Principles:

OMB Circular A-21 (2 CFR Part 220) Institutions of Higher Education
OMB Circular A-87 (2 CFR Part 225) State and Local Governments
OMB Circular A-122 (2 CFR Part 230) Nonprofit Organizations
45 CFR Part 74, Appendix E Hospitals
48 CFR Subpart 31.2 (Federal Acquisition Regulations, or FAR) For-Profit Organizations

A non-exclusive list of non-allowable costs includes:

  • Lobbying: JDRF grant funds may not be used for lobbying purposes of any kind.
  • Tuition and registration fees
  • General office supplies/equipment
  • Computers*
  • Administrative assistance costs
  • Financial Analyst, Accountant cost
  • Rent
  • Advertising costs
  • Indirect cost for fee-for services, consultants, and contractors

*JDRF Post Doctoral Fellows are permitted to purchase a personal computer (up to USD$2,000) using funds within their research allowance during the first year of their fellowships.

JDRF may alter these cost principles and policies on a case-by-case basis at the discretion of the JDRF International Board of Directors.

3.2 Direct Costs Guidelines
Direct Costs are defined as those costs falling within the following JDRF budget categories: Salaries & Wages, Stipends, Supplies, Other Costs, Research Allowances, and Travel.

  • Salaries & Wages includes wages earned by an employee, and may include benefits, including insurance and retirement plans.
  • Stipends are applied for JDRF Postdoctoral and Advanced Postdoctoral Fellowships in place of Salary & Wages. Stipend levels are determined based on the grantee’s years of postdoctoral experience.
  • Supplies are general purpose consumable items that are used on a regular basis and have a shorter life span in use than equipment and machines.
  • Other costs might include items that are not consumable but are needed on a regular basis, such as animal purchases and maintenance changes.
  • Research Allowances are provided for Postdoctoral Fellowships only in the amount of USD$5,500 per year. These can be used towards travel to scientific meetings, journal subscriptions, books, health insurance costs, etc. These funds cannot be used for laboratory supplies.
  • Travel may include any domestic and/or international journeys by an employee related to the project and its limited to USD$2,000 per year.


3.3 Salary and Personnel Guidelines
JDRF follows the U.S. National Institutes of Health (NIH) salary limitation guidelines for Principal Investigators and Post-Doctoral Fellows. JDRF guidelines are adjusted when the new NIH guidelines go into effect. No budget update is needed when there is a change.

Senior/Key Personnel are individuals who contribute to the scientific development or execution of the project in a substantive, measurable way, whether or not salaries are requested. Key Personnel must devote measurable effort to the project whether or not salaries are requested.

Personnel contributing to a JDRF grant are expected to monitor their total percent effort across all funding (JDRF or others) which may not exceed 100%. The Principal Investigator on a JDRF grant must provide his/her percent effort on that grant and a listing of all other support with the associated percent effort.

A consultant is defined as an individual hired to give professional advice or services for a fee. These individuals are typically presented at zero percent effort or as needed (individuals with measurable effort cannot be listed as consultants). Generally, a consultant is not considered Senior/Key Personnel. Grantees should describe the services to be performed by the consultant(s) in their justification and include the number of days of anticipated consultation, the expected rate of compensation, travel, per diem, and other related costs for each.

Consultant costs should be indicated on the regular budget section in the RMS360 in the Other Costs section. Allowable consultant costs include consultant travel, per diem expenses, and an honorarium of up to $200 per day. Additional consulting fees must be explained and justified.

If the consultant is an employee of an institution differing from the PI, the consultant costs must be indicated within the contractual budget section in the RMS360. If the consultant is a part of the same institution, they must be included within the regular budget section in RMS360 in the Salaries & Wages section.

3.4 Indirect Costs Guidelines
Indirect costs are limited to 10% of direct costs. Equipment, subcontract, contractual, and fee-for service costs are not considered direct costs. In instances where there is a subcontract, the contracting institution may take up to 10% indirect costs on the direct costs to be incurred at the institution. The grantee institution may not incur any indirect costs off the subcontract costs.

Grantees may change indirect costs to less than 10%, but may not exceed 10%.

3.4.1 Postdoctoral Fellowships
Indirect costs are not allowable for JDRF postdoctoral fellowship awards.

3.5 Equipment Guidelines
Equipment costs are generally only allowed in Year 1. For specific inquiries regarding equipment purchases, please contact your JDRF Grant Contact.

3.6 Contractual Cost Guidelines
Contractual costs include all subcontract, contract and fee-for-service costs. If you are unsure if an expense falls within this category, please contact your JDRF Grant Contact.

3.7 Budget Allocation
Allocation of costs per each budget category should be completed in compliance with the grantee organization/institution’s internal policies. However, JDRF reserves the right to request the reallocation of a cost to a particular budget category if deemed appropriate.

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4. Administrative Requirements


4.1 Change in Research Plan
Any revision to the approved research plan must be approved by JDRF personnel responsible for the oversight of the grant award. PIs/Organizations must make this request via RMS360 under “Upload Other Documents”, “Other Document” tab, Select document type “Research Plan”. The request must be signed by an organizational official.

4.2 Unexpended Balances
If, at the end of any given funding period, a Grantee reports unexpended funds that exceed $250 USD, one of the three following actions must be taken:

  1. The Grantee refunds JDRF the full unexpended balance. Please note that grantees may not charge JDRF a fee to convert/return funds. Refunds are due to JDRF within 60 days of the expenditure report due date.
  2. The Grantee requests a carry forward.
  3. The Grantee requests a no-cost extension.

4.2.1 Overspending
JDRF is not responsible for funds spent in excess of the approved annual budget nor the total awarded amount and these funds must be reconciled within your institution. Negative balances may not be carried forward into the next budget period.

4.3 Carry Forwards
If an unexpended balance remains at the end of a given grant year for a multi-year grant, JDRF may allow the grantee to carry forward the funds into the following year by officially requesting a carry forward.

4.3.1 Automatic Carry Forwards

For awards of less than or equal to $500,000 per year, grantees may automatically carry forward any unexpended balance that is less than 20% of the approved yearly budget. For awards of greater than $500,000 per year, grantees may automatically carry forward any unexpended balance that is less than 10% of the approved yearly budget. For automatic carry forwards, grantees must provide a detailed projection for use of the funds in the new budget period. This projection should be provided on the Carry Forward tab that is part of the Expenditure report in RMS360.

For multi-project grants, the threshold applies to the total grant amount across all sub-projects.

Postdoctoral Fellows may automatically carry forward unexpended funds from the research allowance only.

4.3.2 For Postdoctoral Fellows and Advanced Postdoctoral Fellows

Postdoctoral fellows may automatically carry forward unexpended funds from the research allowance only. Funds allocated for stipends cannot be carried forward. All funds must be expended by the end of Year 3.

4.3.3 Non-Automatic Carry Forwards
For unexpended balances in excess of these thresholds, the grantee must formally request to carry forward funds. This request should be submitted with the annual Expenditure Report. Note that when a JDRF award expires, any unspent funds in excess of $250 must be returned to JDRF. See section 4.2 (Unexpended Balances). Any non-JDRF funds spent on a JDRF project in excess of the awarded budget amount are not entitled to reimbursement from JDRF.

All non-automatic carry forward requests must be submitted within 75 days after the end of the previous funding period. Requests for extensions must be submitted within 75 days after the end of the previous funding period

All required carry forwards must be approved by JDRF in advance and must include the following:

1. A budget breakdown detailing how the carry forward funds will be used in the next year. For grants managed in JDRF’s Grant Management Portal (RMS360), this should be included on the carry forward tab within the annual Expenditure Report.

2. A letter, co-signed by the Administrative Official of the institution and the Principal Investigator, should be uploaded with the Expenditure Report in RMS360. The letter must include:

  • A detailed, clear explanation of why budgeted funds were not spent in the current year
  • The total amount of unexpended funds requested for carry forward
  • A detailed outline and justification of how the money will be spent in the next year (corresponding with the budget breakdown provided in the “Carry Forward” tab).

Note: Your request will be delayed if documents are insufficient.

JDRF must have received a Renewal application (via RMS360) prior to the Expenditure Report/carry-forward request. Please be advised that a carry-forward request is considered separate from the Renewal Application.

Upon approval, a JDRF Grant administration appointee will send a formal notice letter confirming the carry forward amount.

4.4 No-cost Extension
For most grants, the grantee may request an extension of the final budget period of a JDRF-funded project one time for a period of up to 12 months beyond the original expiration date of the project if additional time is needed in order to accomplish the JDRF-approved scientific objectives of the project. Funds remaining at the end of the grant period are not sufficient justification to extend the project period.

For the duration of the extension, the grantee may not ask for additional funds for the project in question. Additionally, the approved scope of the project must not change during the extension period.

Upon JDRF approval of the no-cost extension, the grantee is expected to ensure that all certifications/ethical assurances are up to date(if applicable) and compliance with all previously agreed-upon terms of the award.

In general, Postdoctoral Fellowships, Transition Awards, Innovative Grants, and High Priority/Short Term awards are ineligible for no-cost extensions. Fellows with extenuating circumstances should contact their designated JDRF Grant Staff.

An official request for a no-cost extension must be submitted through RMS360 (hyperlinked) no later than 45 days before the original expiration date of the award. JDRF staff manage project timelines to ensure scientific progress is consistent with JDRF’s mission and strategic deliverables. No-cost extension requests are, therefore, highly scrutinized by JDRF. Submission of a no-cost extension request does not denote that the request will be granted.

Upon JDRF approval, the JDRF Administrator will notify the Grantee of the no-cost extension approval and new project end date.

See JDRF Policies and Procedures 4.5 for information regarding requests to reallocate funds in the final budget period (which includes the no-cost extension).


4.5 Reallocation of Funds

4.5.1 For Grants up to $500,000 (USD) per year
JDRF permits up to 20% of funds to be reallocated per budget line-item categories without prior JDRF approval. Any reallocation of funds exceeding 20% of budget line-item categories must have prior approval from JDRF. In such instances, the investigator must provide justification. Grantees must submit a letter, co-signed by the Financial Officer of the institution and the Principal Investigator via RMS360. This letter must include an explanation for the proposed reallocation of funds and how this would further the research aims of the project. In addition, grantees must provide a revised total budget. Grantees should contact their JDRF Grants Contact when a budget reallocation request is required. The Grants Personnel will open up the appropriate section of RMS360 where the grantee can upload the signed letter and input the revised budget.

Reallocation requests cannot be made to increase travel above $2,000 or to increase indirect costs above 10% of direct costs. Any reallocation request including equipment beyond the first year of the award must be strongly justified, as equipment is only allowed in the first year of the award.

Upon approval, the JDRF Grant Personnel will provide documentation confirming the updated budget.

4.5.2 For Grants greater than $500,000 (USD) per year
JDRF permits up to 10% of funds to be reallocated per budget line-item categories without prior JDRF approval. For Multi-Project Grants that have overall budgets exceeding $500,000 (USD), the 10% reallocation policy applies to each individual project and core, irrespective of the budgets of those projects and cores. Any reallocation of funds exceeding 10% of budget line-item categories must have prior approval from JDRF. In such instances, the investigator must provide justification. If the reallocation exceeds 10% of a given line item, grantees must upload a letter, co-signed by the Financial Officer of the institution and the Principal Investigator. This letter must include an explanation for the proposed reallocation of funds and how this would further the research aims of the project. In addition, grantees must provide a revised total budget. If the grant is managed in RMS360, grantees should contact their JDRF Grants Contact when a budget reallocation request is required. The Grants Personnel will open up the appropriate section of RMS360 the grantee can upload the signed letter and input the revised budget.

Reallocation requests cannot be made to increase travel above $2,000 or to increase indirect costs above 10% of direct costs. Any reallocation request including equipment beyond the first year of the award must be strongly justified as equipment is only allowed in the first year of the award.

Upon approval, JDRF Grants Personnel will provide documentation confirming the updated budget.

For multi-project grants, the threshold applies to the total grant amount across all sub-projects.

4.6 Change in Percent Effort for Key Personnel

4.6.1 Change in Percent Effort for Key Personnel
The grantee must submit a written request to JDRF if the PI or key personnel will change the time devoted to the project by 10 percent or more from the level that was approved at the time of award (for example, a proposed change from 30 percent effort to 27 percent). The request must be signed by an institutional official. Request to change percent effort should be submitted via JDRF’s Grant Management Portal (RMS360). Grantees should submit this request via RMS360 by using the “Upload Other Documents” functionality, choosing “Other Documents” and then selecting “Key Personnel Effort” from the document type drop down.

JDRF must approve any alternate arrangement proposed by the grantee, including any replacement of the PI or key personnel named in the budget.

Please see our reallocation policy for further requirements on changes that may impact the approved budget.

JDRF reserves the right to modify the terms of the award, suspend payment, or terminate the award if the change in key personnel is deemed unacceptable.

4.7 Leave of Absence

Any leave of absence (LOA), including maternity and paternity leave, must be submitted in writing to JDRF within 30 days of the start date of the LOA. The LOA must include an appropriate justification for the leave of absence, the start and end dates of the LOA, request to extend the budget period (if applicable), the signature of the PI, and signature of the institution’s authorized signing official.

The PI or Grantee Institution may submit a request to extend the budget period in which the LOA occurs so as to allow for scientific progress consistent with the original research plan’s timeline. A request to extend the budget period must be included in the notice of LOA provided to JDRF as specified above. The extension cannot exceed the period of time pertaining to the LOA. The start date of subsequent budget period, if applicable, will be modified accordingly to reflect the extension. Subsequent budget periods will not be shortened as a consequence of the LOA budget period extension.

4.8 Transfers
In the event that the Principal Investigator moves institutions, a request to change grantee institution/organization must be submitted to JDRF. JDRF will consider such a request provided that the original grantee institution will relinquish the grant and that the new grantee institution will accept the grant and JDRF’s Terms and Conditions. The original grant period and total commitment remain the same.

The request to transfer grantee institutions must be made in advance of the anticipated start date at the new institution. The request must be submitted in RMS360 and must include the following from the original grantee institution:

  • A letter, signed by the Administrative Official, relinquishing the grant.
  • A final expenditure report from the original grantee institution. The report is due within 75 days of the end date at the original institution. Please note that you may be required to complete this report on an offline template. Your JDRF Grant Contact will provide specific instructions.
  • A refund for any unexpended funds remaining at the original institution.

In addition, the new grantee institution must submit the following materials via RMS360:

  • A letter, co-signed by the Principal Investigator and an Administrative Official. The letter should include the following information:
    • Confirmation of the Principal Investigator’s new appointment.
    • An indication of support from the new institution.
    • The Principal Investigator’s updated contact information (including address, telephone, fax, and email).
    • The Principal Investigator’s end date at the original institution and start date at the new institution.
    • The name of the designated Financial Official.
    • The name, title, and contact information of the person designated to keep full account of disbursements.
  • New IRB/IACUC materials (as applicable) for the grant.

JDRF Science and Grant Personnel will review the grant transfer request. If approved, the JDRF Grant Personnel will notify the grantee of approval.

Note: The final expenditure report and any associated refund from the original grantee institution will be required prior to the release of funds to the new institution.

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5. Monitoring & Reporting

For most grants, all reporting should be completed via RMS360. Information regarding RMS360 is available on the RMS360 page. For detailed submission instructions, please review the RMS360 Training Manual.

5.1 Award Activation

5.1.1 Deadlines
Following receipt of the funding letter, all JDRF grantees are required to complete and submit activation materials. Materials are customarily due 1 – 2 months prior to the anticipated grant start date. The funding letter will clearly state the activation materials deadline as well as the anticipated start date for the grant.

5.2.2 Authorized Personnel
The PI and Financial Official both have access to the activation in RMS360. The PI is expected to contribute to any pertinent sections of the activation including the Contact Information, IRB/IACUC, Budget, and Other Support. The Financial Official is required to complete the payment details and has the sole authority to submit the activation.

5.1.3 Requirements
Prior to the start of any grant, all grantees are required to submit activation materials. Upon first login, the grantee is required to accept the JDRF Terms and Conditions for the grant. The report requires submission of the following details: updated contact information, applicable ethical approval documentation, projected budget for the funding period, payment details, other support information, and the most current A-133 report for the grantee institution.

5.1.4 Multi-Project Grants
Any grant involving 2 or more projects must submit activation materials for each project and/or core as well as a composite report. All reporting for multi-project grants should be completed offline. Please contact your JDRF Grant Contact for more information and report templates.

5.2 Yearly Progress Reporting

5.2.1 Deadlines
For most multi-year grants, a yearly progress report (renewal) is due 60 days prior to the start of each new funding period.

5.2.2 Authorized Personnel
The PI and Financial Official both have access to the yearly progress report in RMS360. The PI is expected to complete the scientific progress report sections and is expected to contribute to any pertinent sections of the activation including the Contact Information, IRB/IACUC, Budget, and Other Support. The Financial Official is required to complete the payment details and has the sole authority to submit the activation.

5.2.3 Requirements
On an annual basis, grantees are required to submit the yearly progress report. The report requires submission of the following details: updated contact information, updated ethical approval documentation, the projected budget for the new funding period, payment details, updated other support information, the most current A-133 report for the grantee institution, and a scientific progress report (includes technical report, lay report, and publications).

5.2.4 Multi-Project Grants
Any grant involving 2 or more projects must submit a yearly progress report for each project and/or core as well as a composite report. All reporting for multi-project grants should be completed offline. Please contact your JDRF Grant Contact for more information and report templates.

5.3 Final Progress Reporting

5.3.1 Deadlines
For all grants, a final scientific progress report is required within 75 days of the end of the grant period. Final progress reports are also required for all grants that have been terminated (either by JDRF or by the grantee). Failure to submit a required final progress report may result in payment delays or suspensions. See payment terms for more information.

5.3.2 Authorized Personnel
The PI must complete and submit the Final Progress Report in RMS360.

5.3.3 Requirements
All grantees are required to submit a final progress report. The report requires submission of a scientific progress report, website progress report, and any associated publications, abstracts, or presentations.

5.3.4 Multi-Project Grants
Any grant involving 2 or more projects must submit a final progress report for each project and/or core as well as a composite report. All reporting for multi-project grants should be completed offline. Please contact your JDRF Grant Contact for more information and report templates.

5.4 Additional Progress Reporting

In addition to the annual and final progress reports, some JDRF awards may require progress reports more frequently. Reporting above and beyond the a annual and final progress reports will be clearly defined in the funding letter for the individual grant and/or via official correspondence regarding changes to the terms during the life of the grant. Failure to submit a required progress report will result in payment delays or suspensions.

5.5 Expenditure Reporting

5.5.1 Deadlines
An expenditure report is due within 75 days after the end of each funding period.

5.5.2 Authorized Personnel
The Institution’s designated Financial Officer has the sole authority to complete and submit JDRF expenditure reports in RMS360. The PI may upload necessary reallocation and/or carry forward requests; however, he/she does not have access to expenditure input.

5.5.3 Requirements
The expenditure report outlines financial expenditures of JDRF funds spent to-date for the given budget period, and must follow the JDRF approved budget for the grant budget period. A grant’s expenditure must also follow the JDRF Cost Principles. JDRF no longer requires a copy of the general ledger as a component of the expenditure report. However, JDRF reserves the right to request a copy of the general ledger if deemed necessary.

5.5.4 Multi-Project Grants
Any grant involving 2 or more projects must submit an expenditure report for each project and/or core as well as a composite report. All reporting for multi-project grants should be completed offline. Please contact your JDRF Grant Contact for more information and report templates.

5.6 Intellectual Property, Invention Reporting, & Royalties

Effective for all grants activated on or after April 1, 2013

The mission of the JDRF (“JDRF”) is to find a cure for Type 1 diabetes and its complications through the support of research. In furtherance of this mission, JDRF provides funding to various research institutions (each a “Research Institution”) to conduct research in connection with the cure, treatment and prevention of Type 1 diabetes and its complications. This policy on intellectual property, commercialization and royalties (the “Policy”) applies to all Research Institutions that receive funding from JDRF. By accepting funding from JDRF, the Research Institution agrees that it is bound by all terms and conditions specified in this Policy.

5.6.1 Intellectual Property Rights in the Research Results
As between JDRF and the Research Institution, the Research Institution will own all right, title and interest, including to the extent applicable all patent, copyright, trademark, and other legal rights, in and to all Inventions (as defined below, whether or not patentable), products of the mind, tools, scientific discoveries, technological advances, compilations, computer software, printed materials and other works of authorship created, made, conceived or reduced to practice by the Research Institution or any of its employees, investigators, students, staff or collaborators at other institutions (collectively, “Investigators”) in the course of conducting research using funding provided by JDRF (collectively, the “Research Results”). To the extent that the Research Institution’s own policies permit individual Investigators to own any right, title or interest in any Research Results, the Research Institution shall ensure that each Investigator complies with the provisions of this Policy with respect to such Research Results.

To the extent not restricted by Federal or State laws or regulations governing the Research Institution, the Research Institution shall require any subcontractor that it engages to conduct research using funding provided by JDRF to agree to be bound by this Policy to the same extent as the Research Institution is bound. The Research Institution shall provide a copy of this Policy to all such subcontractors.

The Research Institution hereby grants to JDRF an irrevocable, non-exclusive, worldwide, fully paid-up, royalty-free, perpetual license, with the right to grant sublicenses to others, to use and to practice all Research Results for non-commercial research purposes related to the diagnosis, cure, treatment and/or prevention of Type 1 diabetes and its complications. JDRF will notify the Research Institution when it intends to grant a sublicense pursuant to the terms herein, and will identify the intended sublicensee to the Research Institution. JDRF will consider in good faith any reasonable concern or objection raised by the Research Institution with respect to an intended sublicensee.

5.6.2 Other Intellectual Property of the Research Institution or Third Parties
This Policy does not apply to any patents, copyrights, trademarks or other intellectual property of the Research Institution that was not developed under JDRF funding. Unless agreed to otherwise in writing, this Policy does not apply to any patents, copyrights, trademarks or other intellectual property owned by third parties and not developed under JDRF funding.

5.6.3 Invention Disclosures
The Research Institution shall disclose to JDRF within 60 days all potentially patentable inventions that are conceived or first actually reduced to practice by the Research Institution or any of its Investigators during the course of carrying out any research using funding provided by JDRF (each an “Invention”). The Research Institution shall make such disclosure via RMS360. The report shall include a brief description of the Invention, its potential commercial use, a list of all inventors, and the Research Institution’s plan for protecting the invention (i.e., filing of a patent application, trademark or copyright application) and any plans for commercializing the Invention, including a list of any potential licensees.

5.6.4 Patents
As between JDRF and the Research Institution, the Research Institution will have the first right to pursue patent protection for Inventions. In the event that the Research Institution chooses not to pursue patent protection for any Invention in any jurisdiction or country, or abandons or intends to abandon a patent application or an issued patent claiming any Invention in any jurisdiction or country, the Research Institution shall promptly inform JDRF of such decision, and at JDRF’s request, the Research Institution shall assign, license or otherwise transfer any or all rights in or control of such Invention in such jurisdiction to JDRF.

The Research Institution shall notify JDRF of its intention to abandon in any jurisdiction or country any patent application claiming an Invention or any issued patent claiming an Invention at least ninety (90) days in advance of any deadline that would cause such application or patent to be abandoned or otherwise lapse in such jurisdiction or country, and of its intention not to pursue patent protection for any Invention in any jurisdiction or country at least ninety (90) days in advance of any statutory bar that would prevent JDRF from obtaining patent protection for such Invention in such jurisdiction.

5.6.5 Commercialization
5.6.5(a) Commercialization Efforts
Upon the disclosure of a new Invention or generation of other Research Results, the Research Institution shall take appropriate steps to commercialize such Research Results in a timely fashion, either itself or through one or more licensees, in the field of diagnosing, curing, treating, and/or preventing Type 1 diabetes and its complications. If JDRF determines in good faith, after consulting with the Research Institution, that the Research Institution has not itself or through one or more licensees diligently pursued commercialization of any Research Results in the field of diagnosing, curing, treating, and/or preventing Type 1 diabetes and its complications within a commercially reasonable period of time, then at JDRF’s request the Research Institution shall meet with JDRF to discuss a commercialization plan for the Research Results that is reasonably satisfactory to JDRF. If the Research Institution is unable to commercialize the Research Results within the timeframe specified in the commercialization plan, then at JDRF’s request the Research Institution shall assign, license or otherwise transfer any or all rights in or control of such Research Results to JDRF, unless the Research Institution can show reasonable cause as to why it should retain title to or control of such Research Results.

5.6.5(b) Commercial Licenses

(1). Notice of Intention to Grant Licenses or other Transfers. The Research Institution shall provide JDRF with written notice of its intention to transfer, sell, license, assign, or otherwise grant any party the exclusive or non-exclusive right to use or practice any Research Results (hereinafter collectively a “License”) at least 30 days prior to granting such License. Such notice shall describe in reasonable detail the proposed License to be granted, including without limitation: (a) a detailed description of the Research Results to be transferred; (b) the facts and circumstances pertinent to the Research Institution’s decision to grant the License; (c) the nature, terms and conditions of the License; and (d) the identity of the prospective licensee.

(2). Non-Exclusive Licenses. The Research Institution shall have the right to grant a non-exclusive License of any Research Results, provided that the Research Institution reasonably believes that granting of such non-exclusive License would not have a material adverse effect on the value (commercial or otherwise) of such Research Results.

(3). Exclusive Licenses. Concurrently with providing JDRF with written notification pursuant to Section 5.6.5(b)(1) of this Policy, the Research Institute shall initiate consultation with JDRF concerning any proposal by the Research Institution to grant an exclusive License of any Research Results. To facilitate consultation, the Research Institution shall supply JDRF with a draft of the proposed exclusive License. At its discretion, JDRF may comment either verbally or in writing on a proposal by the Research Institution to grant an exclusive License and/or on the provisions of the draft exclusive License. If JDRF comments in writing, then the Research Institution shall respond to JDRF’s comments in writing. With respect to any decision regarding whether to grant an exclusive License, the Research Institution and JDRF further agree to (a) act responsively, cooperatively and in good faith, and (b) make such decisions on a reasonable basis using the principles and guidelines set forth in Section 5.6.5(b)(4) of this Policy.

(4). Principles and Guidelines for Granting Exclusive Licenses.

(a) Basic Principles and Guidelines. The Research Institution and JDRF agree that an exclusive License should be granted if and only if the granting of such exclusive License is reasonably likely to: (i) maximize the positive impact of the subject matter of the License on the health and well-being of Type 1 diabetes patients; (ii) maximize the availability of diagnostic or therapeutic products to Type 1 diabetes patients; and (iii) maximize the speed at which diagnostic or therapeutic products are available to Type 1 diabetes patients.

(b) Exclusive License Agreement Principles and Guidelines. In addition to the basic principles and guidelines set forth in Section 5.6.5(b)(4)(a) of this Policy, the Research Institution and JDRF further agree that an exclusive License should be granted if and only if the terms and conditions of the exclusive License incorporate the following elements: (i) reasonable performance milestones and a demonstrated capacity of the licensee to be able to meet those milestones; (ii) termination or conversion to nonexclusivity provisions in the event the licensee does not meet specified milestones; and (iii) reasonnable business terms and conditions that are in keeping with the then existing market standards for such type and nature with respect to similar technology and in similar disease indications.

5.6.6 Transfer of Research Results to the JDRF; Commercialization by JDRF
In the event of an assignment or other transfer to JDRF of any rights in or control of any Research Results as provided in this Policy, the Research Institution shall cooperate with JDRF (at JDRF’s expense) and shall execute or cause to be executed such documents and take or cause to be taken such other actions as reasonably may be requested by JDRF in order to effectuate such transfer. After the effective date of any such transfer, as between the Research Institution and JDRF, JDRF shall be solely responsible for all costs associated with the Research Results, including but not limited to filing, prosecuting and maintaining patent applications and patents.

In the event that JDRF commercializes a product the making, use, sale or import of which incorporates the transferred Research Results, or would infringe any intellectual property rights associated with the transferred Research Results absent the transfer to JDRF, JDRF shall negotiate in good faith with the Research Institution a reasonable royalty rate that will be payable to the Research Institution based on sales of such product, taking into consideration the financial contribution of both JDRF and the Research Institution. In addition, in the event that JDRF’s making, use, sale or import of any product would infringe an intellectual property right associated with Research Results owned by the Research Institution and not transferred to JDRF, then the Research Institution shall grant to JDRF an irrevocable, non-exclusive, worldwide, fully paid-up, royalty-free, perpetual license, with the right to grant sublicenses to others, to use and to practice those Research Results to the extent reasonably necessary to commercialize such product, and to the extent that the Research Institution has the authority to grant such rights. In the event that JDRF’s making, use, sale or import of any product would infringe an intellectual property right associated with inventions or other research results owned by the Research Institution and not funded by JDRF, then the Research Institution shall reasonably negotiate with JDRF with respect to any such intellectual property rights that JDRF would require in order to commercialize such product, to the extent that the Research Institution has the authority to grant such rights.

5.6.7 Royalties/Reimbursement of Patent Costs
In acknowledgement of JDRF’s provision of funding, the Research Institution shall pay to JDRF a royalty in the amount of ten percent (10%) of Net Income, up to an aggregate amount equal to five (5) times the total funding provided by JDRF to the Research Institution in connection with the grant under which the applicable Research Results were developed. For these purposes, “Net Income” shall mean gross income received by the Research Institution from the licensing, sale, transfer or other commercial utilization of any Research Results, less payments that the Research Institution makes to any applicable inventors in accordance with the Research Institution’s policies and less direct, unreimbursed out-of-pocket expenses paid by the Research Institution to third parties for patent or licensing any Research Results. The Research Institution shall make all such payments to JDRF at least annually, within ninety (90) days after the end of each calendar year in which such Net Income was received by the Research Institution, or within such other period to which the parties mutually agree. The Research Institution shall provide to JDRF, upon request, financial information adequate to establish and document the amount of Net Income. JDRF also shall have the right to audit the Research Institution’s books and records annually in order to verify the Net Income. The Research Institution’s obligation to pay royalties to JDRF shall survive after funding has terminated.

In the event that JDRF has funded the patent costs of any Invention or intellectual property costs of any other Research Results that are not assigned or transferred to JDRF and that are later licensed, sold, or otherwise transferred by the Research Institution to a third party for commercialization, the Research Institution shall use commercially reasonable efforts to require such third party, as a condition of such license, sale or other transfer, to reimburse JDRF for all prior funding of such costs.

5.6.8 Reporting
The Research Institution shall report to JDRF within sixty (60) days of the receipt of any invention disclosure, the filing of any patent application claiming any Invention, the issuance of any patent claiming any Invention, the filing of any application to register a copyright or trademark in any Research Results, and the execution of any agreement granting any third party the right to use or practice any Inventions or other Research Results (whether for research, development, commercial or other purposes). In addition, the Research Institution shall promptly report to JDRF any decision to abandon or not pursue patent protection on any Invention, With each such report, the Research Institution shall provide JDRF with copies of such patent applications or issued patents, copies of such copyright or trademark applications, and copies of any such agreements with a third party. JDRF shall maintain these documents in confidence as provided in this Policy.

In addition, the Research Institution shall submit annual reports to JDRF describing the status of JDRF-funded research, the Research Results (including a description of any intellectual property rights other than Inventions that have been developed), the Research Institution’s efforts to seek patent protection for, develop and commercialize Inventions and other Research Results, and, if applicable, setting forth the Net Income for such year. Such reports shall include the status of such development, the names of current or potential licensees, the relevant terms of any licenses that are in negotiation or have been executed granting any third party the right to use or practice any Inventions or other Research Results, and the receipt of any royalties and other consideration under such licenses.

Grantees are required to report invention disclosures, patent applications, patent allowances and/or the execution of IP Transfer Agreements (as stated above) related to JDRF supported inventions to JDRF for a period of three (3) years after the expiration of JDRF grant in question. The grantee agrees to keep JDRF informed of the status of any Invention disclosure or patent application filed related to a JDRF supported invention. At JDRF’s request, the grantee will provide JDRF with copies of invention disclosures, patent applications, patent allowances and any IP Transfer Agreements. Such information will be for JDRF-internal purposes only and will be considered confidential.

All reports shall be sent to the attention of: Richard Insel, M.D., Chief Scientific Officer, JDRF, 26 Broadway, 14th Floor, New York, NY 10004. The Research Institution’s obligation to report to JDRF shall survive after funding has terminated.

5.6.9 Confidentiality
JDRF shall treat as confidential all reports, invention disclosures, and other confidential information received from the Research Institution, and shall not disclose any such confidential information to any third party other than JDRF committee members without the prior written consent of the Research Institution. Any such disclosure by JDRF shall be made subject to appropriate confidentiality restrictions.

5.6.10 Cooperation
As reasonably requested by JDRF, the Research Institution shall from time to time consult with JDRF with respect to matters relating to JDRF-funded research, including matters relating to the patenting, development and commercialization of Inventions and other Research Results. For example, if so requested by JDRF, the Research Institution shall discuss with JDRF the ongoing progress of JDRF-funded research, critically assess the results of such research, identify and address any weaknesses or delays in research or commercialization, and determine when and whether particular research or commercialization targets are achieved.

In making decisions whether to continue ongoing grants or whether to award additional grants to a researcher or his/her institution, JDRF will consider whether the Research Institution has honored the above Policy.

5.6.11 Conformance with Federal and/or State Law
Notwithstanding the foregoing provisions, nothing in this Policy is intended to, or should be construed to, conflict with Federal law or the laws of any State governing the Research Institution, including any Bayh-Dole or NIH obligations that may arise with respect to Inventions resulting from research funded by both JDRF and federal funds. Federal and/or State law shall govern in the event of any inconsistency with this Policy.


5.7 Publication Requirements
Grantees are expected to publish in relevant scientific journals and to provide information to the public on objectives, methodology, and findings resulting from their JDRF-supported research activities. Grantees must notify JDRF Grant Personnel of any publication relating to JDRF-supported research. Copies of abstracts and journal articles (preprints and reprints) should be included as a component of the grantee’s yearly grant renewal, or may be submitted anytime during the grant year.

All grantees are required to submit all full-length peer-reviewed publications to JDRF prior to the publication date. JDRF will honor all embargos. Submissions outside of the annual reports should be made via RMS360 by using the “Upload Other Documents” functionality, choosing “Other Documents” and then uploading within the “Publications” section. For grants not managed in RMS360, please submit any publications to your JDRF Grant Administrator via email.

5.8 Public Announcements
Any public announcement (i.e. press release, website posting, public email announcement) must be coordinated with JDRF. Please contact Tara Wilcox-Ghanoonparvar, JDRF’s Media Writer, regarding such announcements (e-mail: twilcox-ghanoonparvar@jdrf.org, Tel: 212-479-7524)

5.9 Record Retention
As per JDRF policy and Generally Accepted Accounting Principles (GAAP), grantees are expected to retain both financial and programmatic records (either electronic or paper) relating to any JDRF grant for a period of at least 7 years.

5.10 Auditing
JDRF reserves the right to audit all expenses related to JDRF awards at any time. As a condition of accepting this award, grantees’ organizations/institutions agree to maintain books and records documenting the expenditure of JDRF’s grant funds in accordance with customary accounting procedures. Grantees’ organizations/institutions further agree to make these books and records available to JDRF for review (at JDRF’s expense) upon request.

JDRF may audit grant expenses in order to receive assurance of the following:

  1. The institution/organization is complying with JDRF grant terms and conditions, as well as applicable laws and/or regulations
  2. Desired grant/scientific outcomes, results, and objectives are being achieved
  3. Resources are being managed properly
  4. Financial operations are conducted appropriately
  5. Financial reports are accurate and on time

If the grantee’s submitted information demonstrates financial and/or grant management deficiencies as they relate to any JDRF-funded project (either based on A-133/audit summaries or via JDRF review of general ledger), JDRF may require a formal plan of action from the grantee in the form of a letter or memorandum from the organization’s/institution’s administrative or financial officer, stating the corrective actions to be taken and the timeline for action.

5.10.1 Independent Audit Reports & A133
U.S. and Canadian organizations/institutions that receive more than $500,000 per year in U.S. Federal award funds must conduct an independent yearly audit under the guidelines of the OMB A-133 Compliance Supplement. As a component of JDRF’s auditing and monitoring practices, the organization/institution’s A-133 audit report is required on an institutional basis. For international organizations/institutions, or for U.S./Canadian organizations/institutions that expend less than $500,000 per year in U.S. Federal award funds, equivalent yearly audit reports are required.

For organizations that do not conduct an independent external audit, an official letter signed by an organization official must be submitted instead of the required A-133 audit report. The letter must state that the organization has financial and operational internal controls in place to successfully manage the JDRF grant.

5.10.2 Site Visits & Evaluations
Site visits and evaluations may occur annually for any JDRF grant. Grantees will be notified in advance of an upcoming on-site evaluation and will work with their JDRF scientific program manager and/or grant administrator to determine the evaluation structure. Most JDRF awards greater than $500,000 U.S. per year may be subjected to a more formal evaluation. In these cases, the JDRF research program personnel will work with grantees to identify members of an Evaluation Committee as a method in which to receive third party, expert feedback on the progress of the project. At the end of an evaluation, JDRF program personnel will provide the Principal Investigator with an evaluation summary statement, to which the Principal Investigator may be required to respond. Payments for subsequent funding periods may be tied to evaluation results and/or the Principal Investigator’s response to the evaluation summary statement.

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6. Enforcement Actions


6.1 Suspensions & Termination

6.1.1 Payment Suspension & Administrative Probation
JDRF reserves the right to withhold grant payments on an award at any time, in cases where the grantee is non-compliant. Such cases include, but are not limited to, failure to submit proper documentation by its respective due date (e.g., expenditure reports, IRB/IAUCC approvals, etc.) and unsatisfactory scientific progress. In addition, JDRF may place the Principal Investigator and/or his/her organization/institution on administrative probation if outstanding documentation or other administrative issues exceed a 90-day period or if a grantee is non-compliant as outlined in this document. JDRF administrative probation may include, but is not limited to, the following actions:

  1. Withholding of all payments for the grant/project in question
  2. Changing to a payment reimbursement schedule
  3. Withholding of all JDRF payments for the Principal Investigator, for any JDRF grant
  4. Withholding of all JDRF payments for the Principal Investigator’s institution/organization, for any JDRF grant
  5. Any combination of the above

Principal Investigators under administrative probation will have the opportunity to respond to the probation by sending a rebuttal letter to JDRF within 15 days of the probation’s notification, at which time JDRF will make a final decision on the suitable course of action (see Grant Appeals Procedures, below). Payments will be reinstated when all outstanding documentation has been processed and approved by JDRF and/or all required corrective measures have been taken and documented. (It is strongly suggested that Grantees contact JDRF in advance should they anticipate any delays in submitting required documentation.)

If, after the 6 month probation period, any JDRF grantee fails to comply, further action may be taken, including but not limited to, the termination of award (see below).

6.1.2 JDRF-Initiated Award Termination
JDRF reserves the right to terminate an award at any time, in whole or in part. Generally, JDRF will allow the grantee to take corrective measures should the possibility of termination arise from financial, ethical, administrative, or programmatic insufficiencies. In such cases, the award will be suspended until corrective actions are taken as outlined by JDRF.

In addition, programmatic termination may be initiated by JDRF if project scientific milestones are not achieved. This determination will be made by JDRF personnel, based on the required progress reports and/or additional programmatic information submitted to JDRF as part of yearly renewals. JDRF will notify the grantee in writing of programmatic termination.

6.1.3 Grantee-Initiated Award Termination
Awards may also be terminated by the grantee, in whole or in part. In such cases, the grantee must provide JDRF with written documentation of the reasons for termination. If a grantee elects to terminate a portion of their award, JDRF may determine that the remainder of the grant no longer meets JDRF research mandates and may elect to terminate the remainder of the entire award.

Request for termination must be submitted to JDRF via RMS360 and must include the following:

  • A letter co-signed by the Principal Investigator and the designated officer of the organization/institution requesting termination of the award, to include detailed reason(s) for the request of termination
  • Effective award termination date
  • A final expenditure report from the Principal Investigator’s organization/institution to include funds spent to-date, due within 60 days of the termination date. Any unspent funds must be returned to the JDRF Grant Administrator. Please see section 4.2 (Unexpended Balances)
  • A final progress report, due within 60 days of termination of the award
  • For grants not managed via RMS360, please contact your JDRF Grant Contact for submission procedures


6.2 Modification of the Terms of the Award
During the grant period, should JDRF science or grant personnel identify financial, administrative, or programmatic insufficiencies, JDRF may place special conditions on the award (some of which are outlined in section 6.1, above) if corrective actions are required. If special award conditions must be imposed, JDRF will notify the grantee, in writing, of the nature of the special conditions, why they are being imposed, what corrective action the grantee can take to correct the problem(s), and the timeline for complying. JDRF may also require the withdrawal of PI or other key personnel should JDRF conclude that the PI and/or other key personnel are no longer competent to perform. Should this be the case, JDRF may require that the institution/organization select a new PI and/or key personnel. All decisions to modify the terms of an award (including withdrawal of PI or other personnel, or other special circumstances or conditions) will be exercised at JDRF’s discretion.

6.3 Recovery of Funds
Should a grantee be paid in excess of the amount for which they are eventually determined to be eligible under the terms of the grant (i.e., due to error, misspent funds or unallowable costs), JDRF may administratively recover those funds. JDRF may require the grantee to pay back funds, and will specify the terms and timeline for repayment. Additionally, JDRF may recover the funds by offsetting funds from payments for other grant awards due the grantee and/or the grantee’s institution/organization, by withholding award payments, or by taking other reasonable action.

Debts to JDRF may result from recovery of funds (see above), unobligated balances, cost disallowances, or other situations. JDRF will notify the grantee, in writing, of outstanding debt owed, and will include a payment schedule for the grantee. Unpaid debts owed to JDRF may result in administrative probation, including, but not limited to, withholding award payments for any additional or future JDRF grant the grantee or the grantee’s institution/organization may hold.

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7. Grant Appeals Procedures / Rebuttal

Principal Investigators under Administrative Probation or who have been given notice of other JDRF corrective action (based on ethical or financial misconduct, negative audit findings, or other actions as outlined in this document) will have the opportunity to respond to the probation or corrective action required by JDRF. Grantees must send a rebuttal letter to JDRF within 15 days of the probation/corrective action notification, at which time JDRF will make a final decision on the suitable course of action and will notify the grantee as such.

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