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 Office of Sponsored Programs (OSP) Executive Vice President Finance & Administration Accounting Services Pre Award Post Award Non-Financial Post Award Financial

REPORTING STRUCTURE James Hutson, Ph.D.

Associate Vice President for Research Dawn Bender Executive Administrative Assistant Research Integrity Office Beth Taraban Managing Director Institutional Review Boards – Lubbock, Amarillo, El Paso Institutional Animal Care & Use Committee Kent R. Hance Chancellor Tedd Mitchell, M.D.

President P. Michael Conn, Ph.D.

Sr. Vice President for Research Associate Provost Office of Sponsored Programs Victoria Rivera Managing Director Lab Animal Resources Center Gordon Brackee, DVM Executive Director Software and Web Design Mary Welch Pharmaceutical Contracts Pam Frazier Research Laboratory Space Allocation Lubbock Amarillo Audit Abilene RDBC El Paso IBC Conflict of Interest Misconduct in Science

WHO DO I CONTACT IN OSP?

Sponsored Programs

Victoria Rivera Lee Paradise Tammy Brown Jason Fryer June Howard Ashley Zurel Authorized Official Institutional Signing Official NIH grants Other federal (HRSA, DoD, NSF, AHRQ, etc.) and Seed (internal) grants Private grants (American Heart Association, CH Foundation, March of Dimes, etc.) Material Transfer Agreements Clinical trials sponsored by government (non-Pharma) Reports, OSP website

ACTIVE FEDERAL AWARDS

RESEARCH AWARDS

TTUHSC Research Awards

$35,0 $30,0 $25,0 $20,0 $15,0 $10,0 $5,0 $ 2007 2008 2009 2010 2011 2012 2013 NIH Other Federal Non-Federal NIH Other Federal Non-Federal

TOTAL

FY 2007 6.1 2.2 6.6

14.9

FY 2008 9.0 2.3 8.2

19.5

FY 2009 11.0 5.8 11.4

28.2

FY 2010 11.8 7.8 10.7

30.3

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 50 40 30 20 10 0 19,25 2007 26,16 2008 38,22 50,98 58,34 2009 2010

Fiscal Year

2011 60,6 2012 61,03 2013 Research Expenditures include all expenses related to research that are paid from any source, including both internal and external sources.

AWARD CONTINUUM LESS

Level of Sponsor Involvement

MORE

Gifts Grants Cooperative Agreements Contracts

• • No donor involvement • PI retains scientific freedom Free of most terms and conditions found in sponsored projects • For Federal grants: OMB Circulars apply • 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

GIFTS VS GRANTS

Factor

Source Purpose Reporting Document Time period Unspent funds

GIFT

Individuals Non-profit organizations Corporations Foundations The donor may specify an area of interest or goal to be funded Little or no reporting obligation. Used as opportunity for donor stewardship Letter of donation or Gift agreement Typically no time period is associated with the funds N/A – funds are provided irrevocably

GRANT

Government agencies Non-profit organizations Corporations Foundations Sponsor specifies how the funds should be used Sponsor requires performance/progress reports, and/or financial reports. Award letter and/or grant agreement Typically requires a specific time frame for conducting project 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

• University of Texas Medical Branch at Austin

UTMB

Grant Subcontract

TTUHSC

• Texas Tech University Health Sciences Center

AWARD LIFE CYCLE Accounting Award Close-Out Identification of Funding Proposal & Budget Development Sponsored Programs Billing & Financial Reporting Expenditure Monitoring* *Research Compliance Award Set-Up Proposal Review & Submission Award Negotiation & Acceptance

AWARD LIFE CYCLE Accounting Award Close-Out Identification of Funding Proposal & Budget Development Sponsored Programs Billing & Financial Reporting Expenditure Monitoring* *Research Compliance Award Set-Up Proposal Review & Submission Award Negotiation & Acceptance

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 4 th 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 Page 2 NIH: Requests equal to $500,000 or more require NIH PRIOR approval before submission

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

Member only Member & children Member & spouse Member & family

Yearly Cost to Institution

$6,038 $8,352 $9,494 $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

When to Use Contract Mechanisms Contract Characteristics TTUHSC Office SUBCONTRACTOR

(Grant Subrecipient)

CONSULTANT PROFESSIONAL SERVICES

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.

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.

GRANT SUBCONTRACT

(aka Consortium Agreement or Subrecipient Award)

SPONSORED RESEARCH AGREEMENT (SRA) CONSULTING AGREEMENTS

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

PROFESSIONAL SERVICES AGREEMENT

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

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 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 51% 35% 26% 26% Applicable To Research Instruction Other Sponsored Programs All Programs Locations On Campus On Campus On Campus 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: Salaries, wages, and fringe benefits Materials and supplies Services Travel The first $25,000 for each sub-grant or sub-contract Do not include: Equipment (item costing $5000 or more with a useful life of one or more years) Capital expenditures Patient care Tuition remission, scholarships, fellowships 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 Materials and supplies Equipment (not subject to F&A) Subcontract (charge F&A on the first $25,000) TOTAL DIRECT COSTS MODIFIED TOTAL DIRECT COSTS (MTDC) BASE (Total direct costs minus equipment $20,000 and subcontract $10,000) TOTAL INDIRECT COSTS (F&A) (MTDC $125,000 x 48.5% research rate) TOTAL PROJECT COSTS REQUESTED (Total direct costs $155,000 + total indirect costs $60,625) $75,000 $25,000 $20,000 $35,000 $155,000 $125,000 $63,750 $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

Sponsor Requires Sponsor Does Not Require

Committed

Mandatory Commitment 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 by obligating effort on this project

other

research

Decreases Increases

the recovery of indirect costs 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 IRB required 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 Budget

is included as an attachment to the contract 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