A focus on the Grant Process Completing grant application forms and budgets

A focus on the Grant Process

• Completing grant application forms and budgets

• Grant routing and approval process

• Award negotiations and acceptance

Victoria RiveraManaging DirectorOffice of Sponsored Programs

REPORTING STRUCTURE

WHO DO I CONTACT IN OSP?

Sponsored Programs

Victoria Rivera Authorized OfficialInstitutional Signing Official

Lee Paradise NIH grants

Tammy Brown Other federal (HRSA, DoD, NSF, AHRQ, etc.) andSeed (internal) grants

Jason Fryer Private grants (American Heart Association, CH Foundation, March of Dimes, etc.)

June Howard Material Transfer AgreementsClinical trials sponsored by government (non-Pharma)

Ashley Zurel Reports, OSP website

ACTIVE FEDERAL AWARDS

RESEARCH AWARDS

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 NIH 6.1 9.0 11.0 11.8 15.9 13.7 15.5

Other Federal 2.2 2.3 5.8 7.8 2.4 3.6 1.1 Non-Federal 6.6 8.2 11.4 10.7 7.5 10.5 7.4

TOTAL 14.9 19.5 28.2 30.3 25.8 27.8 24.0

Other Federal includes HRSA, Dept of Defense, DHHS, CDC, and Dept of EducationNon-Federal includes CPRIT, other State agencies, and private organizations such as American Cancer Society

RESEARCH EXPENDITURES

Research Expenditures include all expenses related to research that are paid from any source, including both internal and external sources.

AWARD CONTINUUM

• No donor involvement

• Free of most terms and conditions found in sponsored projects

• Substantial involvement by both sponsor and recipient

• For Federal cooperative agreements: both OMB Circulars and Federal Acquisition Regulations (FAR) may apply

• Used to acquire product or services for the direct benefit of or use by the sponsor

• For Federal contracts: FAR applies

• PI retains scientific freedom

• For Federal grants: OMB Circulars apply

LESS MORELevel of Sponsor Involvement

GIFTS VS GRANTS

Factor GIFT GRANT

Source IndividualsNon-profit organizationsCorporationsFoundations

Government agenciesNon-profit organizationsCorporationsFoundations

Purpose The donor may specify an area of interest or goal to be funded

Sponsor specifies how the funds should be used

Reporting Little or no reporting obligation. Used as opportunity for donor stewardship

Sponsor requires performance/progress reports, and/or financial reports.

Document Letter of donation or Gift agreement

Award letter and/or grant agreement

Time period Typically no time period is associated with the funds

Typically requires a specific time frame for conducting project

Unspent funds N/A – funds are provided irrevocably

Usually required to return unspent funds to sponsor

GIFTS VS GRANTS

Is it Federal, State, or Private?

Notice of Award

Grant Subcontract

AWARD LIFE CYCLE

Accounting

*Research Compliance

Sponsored Programs

AWARD LIFE CYCLE

Sponsored Programs

Accounting

*Research Compliance

Identifying Funding Opportunities

IDENTIFYING FUNDING OPPORTUNITIES

Resources Sponsored Programs website

• http://www.ttuhsc.edu/sponsoredprograms/Calendar_of_Deadlines.aspx

• http://www.ttuhsc.edu/sponsoredprograms/news.aspx

Major sponsor resources• NIH: http://grants.nih.gov/grants/guide/index.html

• HRSA: http://www.hrsa.gov/grants/index.html

• DoD: Army http://cdmrp.army.mil/funding/default.shtml

• CPRIT: https://cpritgrants.org/Current_Funding_Opportunities/

PI-specific areas of interest – contact OSP

Grants.Gov

• Department of Health and Human Services

• National Institutes of Health (NIH)

• Health Resources & Services Administration (HRSA)

• Department of Defense

• National Science Foundation

• Department of Justice

• Agency for Healthcare Research & Quality (AHRQ)


Search Funded Grants Familiarize yourself with your competition National Institutes of Health

• RePORT: Research Portfolio Online Reporting Tool

• http://report.nih.gov/


Preparing a Grant Application

PREPARING A GRANT APPLICATION

Plan Ahead Contact the sponsor

• Know their mission

Select the right type of application Develop the broad concept Be realistic about the time needed to complete each portion

• Refining your ideas

• Collecting preliminary data

• Writing the application

• Obtaining institutional approval

Types of Applications

Common NIH Types of Applications

•R01 – Traditional research grant – PI submits proposal focusing on their specific project, unsolicited, largest category of NIH funding

•R15 – AREA Academic Research Enhancement Award, small-scale projects, 3 years, $300,000, preliminary data not required (but most successful R15s include prelim data)

•R21/R33 - Exploratory/Developmental Research Grant (R21/R33) – pilot-scale support for potentially ground breaking ideas. 2 years, $275,000

•R41/R42 – SBIR STTR Small Business Innovation, Small Business Technology Transfer – partner with small businesses who apply for grants

•P01 – Project grants – involving multiple projects and Investigators


Follow the Guidelines and Instructions Helps those reviewing your grant Application could be disqualified Look for page limits, font requirements, margins, etc Make sure you meet eligibility criteria Examine eligibility criteria Is there a limit on the number of applications that may be

submitted by one institution? Contact OSP


Completing the Forms OSP Website

• http://www.ttuhsc.edu/sponsoredprograms/forms.aspx

– A Brief Guide to the Grants Process at TTUHSC

– Quick Facts

For “Applicant” use the institution’s legal name:• Texas Tech University Health Sciences Center

• Texas Tech University Health Sciences Center at El Paso

Administrative office is Lubbock for all campuses• 3601 4th Street, Mail Stop 9271, Lubbock, Texas 79430

Also list all local campus locations where work will be performed


Key Components of a Grant Title Abstract/summary Key personnel credentials Budget and budget narrative Background and significance Preliminary data Project description Timeline


Writing the Grant Consider the audience and review criteria Prove significance Be concise and clear Be organized and logical

• Make sure all the parts of the application fit together

Be careful with the use of appendices Proofread the application


Writing the Grant Get copies of funded grants Solicit feedback from colleagues Adequate preliminary data Is your idea original?

• Minimize overlap

• Find a niche

PREPARING A GRANT.GOV APPLICATION

Preparing a Federal Research Grant Grants.Gov

• TTUHSC is already registered as an institution (OSP handles this)

• Faculty don’t need their own Grants.Gov password

Steps:• Search for grant (example: “PAR-13-146

NCI Exploratory/Developmental Research Grant Program: NCI Omnibus R21”)

• Follow link to program announcement

• Click on Apply for Grant Electronically

• Download both Instructions & Application Package (pdf)

PREPARING A GRANTS.GOV APPLICATION

This “Application Filing Name” will appear in

emails from Grants.Gov tracking your grant

Cover PageCover Page


Pick either Modular Budget or

Research & Related (detailed) Budget

per guidelines

Cover Page continuedCover Page continued


For NIH grants:Use this diagram

but always defer to your specific guidelines

Cover Page continuedCover Page continued

PREPARING A GRANTS.GOV APPLICATION Page 1Page 1

PREPARING A GRANTS.GOV APPLICATIONPage 1 continuedPage 1 continued

PREPARING A GRANTS.GOV APPLICATION Page 2Page 2

NIH: Requests equal to $500,000

or more require NIH PRIOR approval

before submission

Must complete all yellow boxes with

red outlines

PREPARING A GRANTS.GOV APPLICATIONPage 2 continuedPage 2 continued


El Paso:Human Subject

Assurance #00020736


Useful websites

NIH• Grant Writing Tips

http://grants.nih.gov/grants/grant_tips.htm

Texas Department of State Health Services• Grant Writing Resources page

http://www.dshs.state.tx.us/fic/gwriting.shtm

Preparing the Budget Request

PREPARING THE BUDGET REQUEST

Preparing the Grant Budget

What is a grant budget?

It is the Principal Investigator/Project Director’s best estimate of the expenses

that will be incurred during the course of the project.

It should accurately reflect the work proposed in the narrative The budget is a firm offer on the part of the institution Carefully follow the sponsor’s instructions and format

requirements

Major budget categories: Salaries and Wages Fringe Benefits Travel Equipment Supplies Subcontracts and Consultants Other Direct Costs Facilities & Administrative (F&A) Costs


Salaries and Wages Percent Effort = Anticipated percent of time each position will

work directly on grant project in relation to total time spent on TTUHSC duties

• There is no such thing as a 40 hour work week

• Some faculty may average closer to 60 hours/week

Use current or anticipated salary


Salaries and Wages May apply inflationary increase (2 or 3%) for subsequent years


From NIH FAQ:

Guide Notice NOT-OD-12-036 states NIH will no longer be providing cost-of-living/inflationary increases in awards. Can applicants still request such increases in competing grants?

There is an important difference between what an applicant can request and what NIH will actually provide on an award. In this case, application instructions have not changed. Applications with a detailed budget can continue to request cost-of-living/inflationary increases in accordance with institutional policy. We recognize that institutions may desire to do this to document actual needs for budgeting and accounting purposes. However, under the current budget climate, it is likely that requests associated solely with inflationary increases will be eliminated from the awarded budget. Requests associated with special needs (e.g., equipment, added personnel or increased effort) will continue to be considered.

When preparing an application using the modular budget format, existing policy remains in place--the number of modules requested should be the same each year and variations must be justified. Requests for an additional module solely to accommodate inflationary increases will not be considered.

Salaries and Wages

Salary Cap:• NIH: Executive Level II currently at $181,500

http://grants.nih.gov/grants/policy/salcap_summary.htm

• CPRIT: $200,000

NIH Example:Dr. X: Salary $125,000 x 10% effort = $12,500 salary requested from grant

Dr. Y: Salary $200,000 - exceeds NIH federal salary cap currently at $181,500

$181,500 x 10% effort = $18,150 salary requested from grant

If funded, must establish separate Salary Cap Cost Sharing Fund


Salaries and Wages continued

Federal grants – how to calculate “Calendar Month” Example:

50% effort with a 12 month appointment:

.50 X 12 = 6 calendar months devoted to project

Example:

10% effort with a 12 month appointment:

.10 x 12 = 1.2 calendar months devoted to project


Fringe Benefits TTUHSC does not have a flat fringe benefit rate Rate varies by employee pay grade and full/part time status

Fringe Benefits consists of: Social Security Workers Compensation Health Insurance – this is the reason for the variability Vacation Retirement plan payments

Fringe benefit calculator: www.ttuhsc.edu/sponsoredprograms/benefitcalc.aspx


Fringe Benefits (continued) Health Insurance rates for FY 14:


Coverage level Yearly Cost to Institution

Member only $6,038

Member & children $8,352

Member & spouse $9,494

Member & family $11,809

Travel Follow HSC travel policy Registration fees usually allowable Check sponsor guidelines for international travel

• Fly America Act

• Export Control issue: taking laptops, GPS

Current travel and per diem rates:• www.fiscal.ttuhsc.edu/busserv/travel


Equipment An article of nonexpendable, tangible property having a

useful life of more than 1 year and a cost of at least $5,000 Base estimates on catalogue, telephone or written quote See sponsor guidelines for equipment ownership after grant

ends


Materials and Supplies

Includes: Expendable equipment Lab supplies Animal expenses Instructional materials Office supplies and computers are not typically charged

directly to Federal grants - considered part of indirect costs• Uniform Guidance (2 CFR 200) will change this effective September 1, 2015


Subcontractors vs Consultants


When to Use Contract Mechanisms Contract Characteristics TTUHSC Office

SUBCONTRACTOR(Grant Subrecipient)

When a collaborator performs a significant and integral portion of the project’s scope of work.

When a collaborator will have programmatic decision-making responsibility.

When a collaborator will perform work as part of an institutional appointment.

When a collaborator will be using institutional facilities, students, and staff.

When an institution in a foreign country is involved.

GRANT SUBCONTRACT

(aka Consortium Agreement or Subrecipient Award)

SPONSORED RESEARCH AGREEMENT (SRA)

Subcontracts and SRAs are issued to institutions, not individuals.F&A (Indirect) Costs for TTUHSC apply only to the first $25,000 of each grant subcontract.A Principal Investigator is identified by name in the agreement.Potential for patentable or copyrightable technology to be created through project.Publication of results expected.The terms and conditions of prime award flow-through to subcontractor.Work within approved subcontract budget.Subject to A-133 auditing

Sponsored Programs

CONSULTANT

PROFESSIONALSERVICES

Consulting service means the services of studying or advising a state agency under a contract that does not involve the traditional relationship of employer and employee.

Professional services means services within the scope of the practice, as defined by state law, of accounting, architecture, landscape architecture, land surveying, medicine, optometry, professional engineering and professional nursing.

CONSULTING AGREEMENTS

Require Board approval or notification. See Regent Rules or Contracting Manual online.

PROFESSIONAL SERVICESAGREEMENTSee Contracting Manual online. New Agreements in excess of $1,000,000 require Board approval.

Consulting agreements and professional services agreements are issued to individuals or organizations.F&A (Indirect) Costs for TTUHSC apply to the entire contract amount. Usually no potential for patentable or copyrightable technology to be created through project.No publications.Fixed-price (fee-for-service) payment terms.Not subject to A-133 auditing

Contracting Office

Subcontracts

Subcontracts transfer a portion of the research or work of the prime award to another institution.

If we are the lead, include the following for each sub:

• Subcontractor institution name and PI name

• Detailed budget

• Statement of work

If they are the lead, a Letter of Intent might be required in addition to the documents above. Must be routed through Sponsored Programs even if TTUHSC is not the lead applicant.

Consultants

• List by name

• Hourly rate, number of hours, other expenses


Other Direct Costs

Includes: Duplication costs (specifically for project) Long-distance telephone charges Books and reference materials Participant costs Shipping expenses for goods and services


Indirect Costs

Indirect costs are costs incurred for common or joint objectives which cannot be identified specifically with a particular sponsored project

• Examples: Utilities, maintenance, building and equipment use, administrative costs, library costs, and student service costs.

• Most sponsored projects include a percentage of the direct cost to cover these charges.

• This percentage is commonly known as the Facilities and Administration rate (F&A) or the Indirect Cost rate.


Calculating Indirect Costs (F&A)

The Facilities and Administration rate (F&A) rate for TTUHSC is negotiated with the U.S. Department of Health and Human Services

Date of agreement: January 20, 2012 Rate is effective until: September 1, 2014; provisional until amended

Rate Applicable To Locations

51% Research On Campus

35% Instruction On Campus

26% Other Sponsored Programs

On Campus

26% All Programs Off Campus


Calculating Indirect Costs (F&A) continued

Modified Total Direct Costs (MTDC) Before calculating the amount of indirect costs (F&A) for a project,

certain costs are deducted which are not subject to the F&A rate.

Include: Do not include:

Salaries, wages, and fringe benefits Equipment (item costing $5000 or more with a useful life of one or more years)

Materials and supplies Capital expenditures

Services Patient care

Travel Tuition remission, scholarships, fellowships

The first $25,000 for each sub-grant or sub-contract

The portion of each sub-grant or sub-contract over $25,000

Rental costs for off-site facilities


Calculating Indirect Costs (F&A) continued

Research project example:

Salary and fringe $75,000

Materials and supplies $25,000

Equipment (not subject to F&A) $20,000

Subcontract (charge F&A on the first $25,000) $35,000

TOTAL DIRECT COSTS $155,000

MODIFIED TOTAL DIRECT COSTS (MTDC) BASE

(Total direct costs minus equipment $20,000 and subcontract $10,000)

$125,000

TOTAL INDIRECT COSTS (F&A)

(MTDC $125,000 x 48.5% research rate)

$63,750

TOTAL PROJECT COSTS REQUESTED

(Total direct costs $155,000 + total indirect costs $60,625)

$218,750


Cost Sharing (TTUHSC OP 65.11) A commitment made by the institution to fund a portion of the

total cost of a sponsored project Mandatory cost sharing* – required by sponsor Voluntary cost sharing – not required by sponsor and discouraged by

TTUHSC as this negatively impacts our indirect cost rate

• Committed cost sharing* – amount is specified

– Example – Dr. Green 10% effort; no funds requested

• Uncommitted cost sharing – amount is not specified

– Example – Dr. Green will provide scientific direction related to certain (specify) aspects of the project; no funds requested


Cost Sharing

•Mandatory and voluntary committed cost sharing must be documented in a separate Fund which requires Effort Reporting.


Cost Sharing Committed Un-committed

Sponsor Requires Mandatory Commitment

n/a

Sponsor Does Not Require

Voluntary Commitment

Voluntary – Not Tracked

Impact of Cost Sharing Institution redirects resources to support a specific project

beyond the funding level provided by the sponsor Reduces flexibility of researchers to conduct other research

by obligating effort on this project Decreases the recovery of indirect costs Increases administrative burden (separate cost sharing FOP &

effort reporting)


Cost Sharing – impact on federal grants

2 CFR 200 Uniform Rule, § 200.306 Cost sharing or matching.


“(a) Under Federal research proposals, voluntary committed cost sharing is not expected. It cannot be used as a factor during the merit review of applications or proposals, but may be considered if it is both in accordance with Federal awarding agency regulations and specified in a notice of funding opportunity. Criteria for considering voluntary committed cost sharing and any other program policy factors that may be used to determine who may receive a Federal award must be explicitly described in the notice of funding opportunity.”

Alternatives to Cost Sharing Examples of language that can be used as an alternative to

making a cost sharing commitment that must be documented:• Professor X will provide scientific direction and supervision for the project

including…

• Professor X will have significant involvement throughout the project. She will be providing expert advice and consultation on all aspects of the project.

• Dr. Y is Principal Investigator and requests 30% salary support for the project. He will provide additional support as needed.

• The equipment is available for the performance of the sponsored agreement at no direct cost to the sponsor.


Budget Justification Detailed justification of budgeted line items Follow the grant guidelines and formatting requirements

carefully


Office of Sponsored Programs – application review and approval process Complete and final proposal submitted to OSP at least 5

BUSINESS days prior to the sponsor’s deadline Submit OSP Route Sheet with the application. Must be

signed by:• Principal Investigator and Co-Investigators

• Department Chair(s)

APPROVAL PROCESS

Sponsored Programs – Route Sheet Route Sheet questions often

overlooked but needed:• Link to grant guidelines

• Cost sharing questions

• Relevant committee approvals

Signature of PI• Includes attestations required by law:

including acceptance of responsibility for scientific conduct, the accurateness of the application, and attestation that no parties involved are debarred/suspended from involvement in federal grants and contracts

Signature of Department Chair• Application is consistent with department policies and objectives

• The resources necessary to support this project are available

APPROVAL PROCESS

Submission process OSP will submit PDF package electronically

– Series of emails to OSP will confirm submission

– Application can be tracked anytime at Grants.Gov using tracking number

• For example: Grant11632791

Other sponsors with electronic submissions via Sponsored Programs:

• American Heart Association

• Susan G. Komen for the Cure

Paper submissions are sent by the department.

APPROVAL PROCESS

Award Negotiation and Acceptance

WHAT ADMINISTRATORS NEED TO KNOW

Sponsor Issuance of Award Typically notified through Sponsored Programs Acceptance of an Award is negotiated through Sponsored

Programs The award is a binding agreement to accept all the Terms and

Conditions Usually references Grant Application

What rules do I follow?

Order of precedent


Notice of Award

Program-Specific Rules

Agency Terms & Conditions

OMB Circulars

Institutional Policy

PublicLaws

Project Implementation The Principal Investigator/Project Director is ultimately

responsible for the proper conduct of the funded project. Follow the order of precedent in previous slide and Institutional policy

• 65 series: Grants and Contracts Accounting

• 73 series: Research


Project Set-Up Checklist

Know the type of award (federal, federal pass-thru, state, private)

Relevant research committee approvals are in place

Understand billing terms (how/when we are paid)

Is there a Cost Sharing commitment?

Understand all reporting requirements

Are there grant subcontractors? (OSP will negotiate these agreements)

Are there any special Terms and Conditions?

Have key personnel completed Conflict of Interest requirements?


Research Committee approvals All relevant institutional committees approvals must be in

place PRIOR to beginning project:• Human research - Institutional Review Board (IRB)

• Animal research - Institutional Animal Care and Use Committee (IACUC)

• Biohazardous agents – Institutional Biosafety Committee (IBC)

• Recombinant DNA – Recombinant DNA Biosafety Committee (RDBC)

• Radioactive material – Radiation Safety

Provide copy of all relevant approvals to OSP


Financial Conflict of Interest in Research: OP 73.09 Mandatory training required prior to expending federal funds

• www.citiprogram.org

• See next slide for instructions on accessing the training

Disclosure Form:• Conflicts are identified and reviewed by the Conflict of Interest Committee

• Must be done annually or when changes occur

• Management plans must be submitted to sponsor


Conflict of Interest training located at: www.citiprogram.org


CITI is also used for IRB-required training. To get to

the Conflict of Interest course, click No to the first 3 questions, then click Yes


Grant subcontracts – where TTUHSC is the lead (prime recipient)

Contract between TTUHSC and subs are initiated by OSP• The contract is referred to as “Subrecipient Agreement”

• Cost reimbursement agreement

• Must provide sponsor information including our grant number assigned by sponsor, CFDA number for federal grants, project title (must match NOA)

• Period of performance – should not exceed 12 months

• Establishes maximum actual cost for year 1

• Subcontract amendments will be issued for subsequent years to add funds and extend the period of performance

• Names TTUHSC’s PI and Key Personnel for the subcontractor (sub PI)

• Contact information for programmatic, administrative, and financial personnel

• Statement of Work is included as an attachment to the contract

• Budget for the 12 month period is also included as an attachment to the contract


Grant subcontracts – where TTUHSC is the lead (continued)

Subcontractor submits invoices to TTUHSC for work performed

Principal Investigator /Department responsibilities:• Approve payment after reviewing reports/invoices and ensuring that work was performed

• Determine level of risk of subrecipients and monitor accordingly

• Review all reports submitted on the progress of the work

• Any usual or unforseen items should be investigated

• Approve payment of invoices. Keep evidence of review of invoices on file (PI or staff signature, email correspondence, etc)

• Perform on site visits/audits as necessary

• Notify Sponsored Programs if right to audit needs to be exercised. Assistance from Research Compliance Officer is recommended.


Grant subcontracts – where TTUHSC is the subcontractor (not the prime recipient) Contracts are initiated by prime recipient to TTUHSC (OSP negotiates terms) Accounting Services submits monthly invoices to prime for work performed

• Invoices are based upon expenses charged to the grant Fund at the end of each month

• PI/Department is responsible for reviewing charges monthly to ensure that accurate invoices are submitted to prime

PI is responsible for any programmatic reporting required by prime Notify OSP if there are issues with the prime (i.e. non-payment of invoices,

collaborative issues, publication disputes) All funds belong to prime who can terminate agreement at their discretion

A focus on the Grant Process Completing grant application forms and budgets

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Transcript of A focus on the Grant Process Completing grant application forms and budgets