Grant Process: Completing Forms, Budgets, Routing, and Approval

1. 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

2. REPORTING STRUCTURE

3. REPORTING STRUCTURE

4. WHO DO I CONTACT IN OSP?

5. ACTIVE FEDERAL AWARDS

6. RESEARCH AWARDS 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

7. RESEARCH EXPENDITURES

8. AWARD CONTINUUM LESS MORE Level of Sponsor Involvement • No donor involvement • Free of most terms and conditions found in sponsored projects • PI retains scientific freedom • 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 Sponsored Programs

9. GIFTS VS GRANTS

10. GIFTS VS GRANTS

11. Is it Federal, State, or Private? Notice of Award Grant Subcontract

12. AWARD LIFE CYCLE Accounting Sponsored Programs *Research Compliance

13. AWARD LIFE CYCLE Accounting Sponsored Programs *Research Compliance

14. Identifying Funding Opportunities

15. 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

16. 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)

17. 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/

18. Preparing a Grant Application

19. 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

20. 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

21. 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

22. 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

23. PREPARING A GRANT APPLICATION

24. PREPARING A GRANT APPLICATION

25. 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

26. 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

27. 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

28. 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-13-146NCI 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)

29. PREPARING A GRANTS.GOV APPLICATION Cover Page • This “Application Filing Name” will appear in emails from Grants.Gov tracking your grant

30. PREPARING A GRANTS.GOV APPLICATION Cover Page continued • Pick either • Modular Budget or Research & Related (detailed) Budget per guidelines

31. PREPARING A GRANTS.GOV APPLICATION Cover Page continued • For NIH grants: • Use this diagram but always defer to your specific guidelines

32. PREPARING A GRANTS.GOV APPLICATION Page 1

33. PREPARING A GRANTS.GOV APPLICATION Page 1 continued

34. PREPARING A GRANTS.GOV APPLICATION Page 2 • Must complete all yellow boxes with red outlines • NIH: Requests equal to $500,000 or more require NIH PRIOR approval before submission

35. PREPARING A GRANTS.GOV APPLICATION Page 2 continued

36. PREPARING A GRANTS.GOV APPLICATION • El Paso: • Human Subject Assurance # • 00020736

37. 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

38. Preparing the Budget Request

39. 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

40. 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

41. 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

42. 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.

43. 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

44. 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 = 6calendar months devoted to project Example: 10% effort with a 12 month appointment: .10 x 12 = 1.2 calendar months devoted to project

45. 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

46. PREPARING THE BUDGET REQUEST • Fringe Benefits (continued) • Health Insurance rates for FY 14:

47. 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

48. 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

49. 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

50. PREPARING THE BUDGET REQUEST • Subcontractors vs Consultants