A focus on the Grant Process
•
Completing grant application forms and budgets
•
Grant routing and approval process
•
Award negotiations and acceptance
Victoria Rivera
Managing Director
Office of Sponsored Programs
REPORTING STRUCTURE
Board of Regents
President
Senior Vice President
for Research
Executive Vice President
Finance & Administration
Office of Sponsored
Programs (OSP)
Accounting Services
Pre Award
Post Award Non-Financial
Post Award Financial
REPORTING STRUCTURE
Kent R. Hance
Chancellor
Tedd Mitchell, M.D.
President
P. Michael Conn, Ph.D.
Sr. Vice President for Research
Associate Provost
James Hutson, Ph.D.
Associate Vice
President
for Research
Dawn Bender
Executive
Administrative
Assistant
Research Integrity Office
Beth Taraban
Managing Director
Office of Sponsored
Programs
Victoria Rivera
Managing Director
Lab Animal Resources
Center
Gordon Brackee, DVM
Executive Director
Institutional
Review Boards –
Lubbock,
Amarillo, El Paso
Lubbock
Institutional
Animal Care & Use
Committee
Amarillo
Audit
Abilene
RDBC
El Paso
IBC
Conflict of Interest
Misconduct in
Science
Software and Web
Design
Mary Welch
Pharmaceutical
Contracts
Pam Frazier
Research
Laboratory Space
Allocation
WHO DO I CONTACT IN OSP?
Sponsored Programs
Victoria Rivera
Authorized Official
Institutional Signing Official
Lee Paradise
NIH grants
Tammy Brown
Other federal (HRSA, DoD,
NSF, AHRQ, etc.) and
Seed (internal) grants
Jason Fryer
Private grants (American Heart
Association, CH Foundation,
March of Dimes, etc.)
June Howard
Material Transfer Agreements
Clinical trials sponsored by
government (non-Pharma)
Ashley Zurel
Reports, OSP website
ACTIVE FEDERAL AWARDS
RESEARCH AWARDS
TTUHSC Research Awards
$35.0
$30.0
$ Millions
$25.0
NIH
$20.0
Other Federal
Non-Federal
$15.0
$10.0
$5.0
$2007
NIH
Other Federal
Non-Federal
TOTAL
FY 2007
6.1
2.2
6.6
14.9
2008
2009
FY 2008
9.0
2.3
8.2
19.5
2010
FY 2009
11.0
5.8
11.4
28.2
2011
FY 2010
11.8
7.8
10.7
30.3
2012
2013
FY 2011
15.9
2.4
7.5
25.8
FY 2012
13.7
3.6
10.5
27.8
Other Federal includes HRSA, Dept of Defense, DHHS, CDC, and Dept of Education
Non-Federal includes CPRIT, other State agencies, and private organizations such as American Cancer Society
FY 2013
15.5
1.1
7.4
24.0
RESEARCH EXPENDITURES
TTUHSC Research Expenditures
70
60
58.34
$ Millions
50
60.6
61.03
2012
2013
50.98
40
38.22
30
26.16
20
19.25
10
0
2007
2008
2009
2010
Fiscal Year
2011
Research Expenditures include all expenses related to research that are paid from any source,
including both internal and external sources.
AWARD CONTINUUM
LESS
Gifts
Level of Sponsor Involvement
Grants
• No donor involvement
• PI retains scientific freedom
• Free of most terms and
conditions found in
sponsored projects
• For Federal grants:
OMB Circulars apply
MORE
Cooperative
Agreements
Contracts
• Substantial involvement
by both sponsor and
recipient
• Used to acquire product or
services for the direct benefit
of or use by the sponsor
• For Federal cooperative
agreements: both OMB
Circulars and Federal
Acquisition Regulations
(FAR) may apply
•
For Federal contracts:
FAR applies
GIFTS VS GRANTS
Factor
GIFT
GRANT
Source
Individuals
Non-profit organizations
Corporations
Foundations
Government agencies
Non-profit organizations
Corporations
Foundations
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
Institutional
Advancement:
reports on both
Gifts & private
Grants
OSP:
must approve
all Grants
(but not Gifts)
Is it Federal, State, or Private?
NIH
• National Institutes of Health
• National Cancer Institute
Notice of Award
UTMB
• University of Texas Medical
Branch at Austin
Grant Subcontract
• Texas Tech University Health
Sciences Center
TTUHSC
AWARD LIFE CYCLE
Identification of
Funding
Accounting
Proposal & Budget
Development
Award Close-Out
Proposal Review
& Submission
Billing &
Financial
Reporting
Award Negotiation
& Acceptance
Expenditure
Monitoring*
*Research Compliance
Sponsored
Programs
Award Set-Up
AWARD LIFE CYCLE
Identification of
Funding
Accounting
Proposal & Budget
Development
Award Close-Out
Proposal Review
& Submission
Billing &
Financial
Reporting
Award Negotiation
& Acceptance
Expenditure
Monitoring*
*Research Compliance
Sponsored
Programs
Award Set-Up
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
IDENTIFYING FUNDING OPPORTUNITIES
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)
IDENTIFYING FUNDING OPPORTUNITIES
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
PREPARING A GRANT APPLICATION
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
PREPARING A GRANT APPLICATION
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
PREPARING A GRANT APPLICATION
PREPARING A GRANT APPLICATION
PREPARING A GRANT APPLICATION
Key Components of a Grant
 Title
 Abstract/summary
 Key personnel credentials
 Budget and budget narrative
 Background and significance
 Preliminary data
 Project description
 Timeline
PREPARING A GRANT APPLICATION
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
PREPARING A GRANT 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
Cover Page
This “Application Filing
Name” will appear in
emails from Grants.Gov
tracking your grant
PREPARING A GRANTS.GOV APPLICATION
Cover Page continued
Pick either
Modular Budget or
Research & Related
(detailed) Budget
per guidelines
PREPARING A GRANTS.GOV APPLICATION
Cover Page continued
For NIH grants:
Use this diagram
but always defer to
your specific
guidelines
PREPARING A GRANTS.GOV APPLICATION
Page 1
PREPARING A GRANTS.GOV APPLICATION
Page 1 continued
PREPARING A GRANTS.GOV APPLICATION
Must complete all
yellow boxes with
red outlines
NIH: Requests
equal to $500,000 or
more require NIH
PRIOR approval
before submission
Page 2
PREPARING A GRANTS.GOV APPLICATION
Page 2 continued
PREPARING A GRANTS.GOV APPLICATION
El Paso:
Human Subject
Assurance #
00020736
PREPARING A GRANT APPLICATION
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
PREPARING THE BUDGET REQUEST
Major budget categories:
 Salaries and Wages
 Fringe Benefits
 Travel
 Equipment
 Supplies
 Subcontracts and Consultants
 Other Direct Costs
 Facilities & Administrative (F&A) Costs
PREPARING THE BUDGET REQUEST
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
PREPARING THE BUDGET REQUEST
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.
PREPARING THE BUDGET REQUEST
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
PREPARING THE BUDGET REQUEST
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
PREPARING THE BUDGET REQUEST
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
PREPARING THE BUDGET REQUEST
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
PREPARING THE BUDGET REQUEST
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
PREPARING THE BUDGET REQUEST
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
PREPARING THE BUDGET REQUEST
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
PREPARING THE BUDGET REQUEST
Subcontractors vs Consultants
SUBCONTRACTOR
(Grant Subrecipient)
When to Use
Contract Mechanisms
Contract Characteristics
TTUHSC Office
When a collaborator performs a significant
and integral portion of the project’s scope of
work.
GRANT SUBCONTRACT
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
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
Sponsored
Programs
When a collaborator will have programmatic
decision-making responsibility.
When a collaborator will perform work as
part of an institutional appointment.
(aka Consortium
Agreement or
Subrecipient Award)
SPONSORED RESEARCH
AGREEMENT (SRA)
When a collaborator will be using
institutional facilities, students, and staff.
When an institution in a foreign country is
involved.
CONSULTANT
PROFESSIONAL
SERVICES
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.
CONSULTING
AGREEMENTS
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.
PROFESSIONAL SERVICES
AGREEMENT
See Contracting Manual
online. New Agreements
in excess of $1,000,000
require Board approval.
Require Board approval or
notification. See Regent
Rules or Contracting
Manual online.
Contracting Office
PREPARING THE BUDGET REQUEST
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
PREPARING THE BUDGET REQUEST
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
PREPARING THE BUDGET REQUEST
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.
PREPARING A GRANT APPLICATION
PREPARING THE BUDGET REQUEST
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
PREPARING THE BUDGET REQUEST
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
PREPARING THE BUDGET REQUEST
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
$125,000
(Total direct costs minus equipment $20,000 and subcontract $10,000)
TOTAL INDIRECT COSTS (F&A)
$63,750
(MTDC $125,000 x 48.5% research rate)
TOTAL PROJECT COSTS REQUESTED
(Total direct costs $155,000 + total indirect costs $60,625)
$218,750
PREPARING THE BUDGET REQUEST
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
PREPARING THE BUDGET REQUEST
Cost Sharing
Cost Sharing
Committed
Sponsor Requires
Mandatory
Commitment
Sponsor Does Not
Require
Voluntary
Commitment
Un-committed
n/a
Voluntary –
Not Tracked
• Mandatory and voluntary committed cost sharing must be documented in a
separate Fund which requires Effort Reporting.
PREPARING THE BUDGET REQUEST
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)
PREPARING THE BUDGET REQUEST
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.”
PREPARING THE BUDGET REQUEST
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.
PREPARING THE BUDGET REQUEST
Budget Justification
 Detailed justification of budgeted line items
 Follow the grant guidelines and formatting requirements
carefully
APPROVAL PROCESS
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.
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 ADMINISTRATORS NEED TO KNOW
What rules do I follow?
Order of precedent
Public
Laws
Notice of
Award
Program-Specific
Rules
Agency Terms &
Conditions
OMB Circulars
Institutional
Policy
WHAT ADMINISTRATORS NEED TO KNOW
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
WHAT ADMINISTRATORS NEED TO KNOW
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?
WHAT ADMINISTRATORS NEED TO KNOW
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
WHAT ADMINISTRATORS NEED TO KNOW
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
WHAT ADMINISTRATORS NEED TO KNOW
Conflict of Interest training located at: www.citiprogram.org
CITI is also used for IRBrequired training. To get to
the Conflict of Interest
course, click No to the first
3 questions, then click Yes
WHAT ADMINISTRATORS NEED TO KNOW
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
WHAT ADMINISTRATORS NEED TO KNOW
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.
WHAT ADMINISTRATORS NEED TO KNOW
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