Department of Medicine RSA Monthly Meeting May 15, :30-10:00 AM, Laurel Heights 416

Department of Medicine RSA Monthly Meeting May 15, 2008 8:30-10:00 AM, Laurel Heights 416 Present: Peggy Bartek, Ross Beard, Olive Burk-Giovanetti, Mi...
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Department of Medicine RSA Monthly Meeting May 15, 2008 8:30-10:00 AM, Laurel Heights 416 Present: Peggy Bartek, Ross Beard, Olive Burk-Giovanetti, Michele Carter, Alice Chin, Jane Drake, Raymond Fong, Estrella Garcia, Kathy Judd, Jennifer Kellen, Calvin Kwok, Karen Lau, Anne Lawrence, Victoria Lee, Ray Leung, Linda Lew, Samantha Lieu, Rashaan Lyons, Christine Mok, Marienna Murch, Solat Navab, Wendy Ng, Sue Ngo, Lourdes Ocbena, Kate Shumate, Suzanne Sutton, Julie Tang, Jodi Wilson

Indirect Costs Proposal Calculation We reviewed some examples of how indirects costs (IDC) are calculated in proposal budgets and how to check if the indirects are calculated correctly for the fund in the GL. Please refer to the attachment for the handout provided at the meeting. Often times, particularly in the case of the NIH, indirect costs are calculated on a modified total direct cost (MTDC), which excludes a number of expenses. Exclusions include rent, capital equipment, tuition and fees, patient care costs, and subcontracts. Capital equipment is defined as any single item costing $5,000 or more. Example 1 shows the indirect calculation for a proposal with 2 non-UC and 1 UC subcontract. Total subcontract expenses must be excluded for the MTDC but the NIH allows you to add back in the first $25K for each non-UC subcontract. Therefore, the MTDC only includes $25,000 each for Fred Hutch and Mt. Sinai. With a negotiated IDC rate of 54.50%, the total indirect costs will be $136,250 for the first FY and $139,519 for the second FY. Exclusion of subcontracts is specific to NIH guidelines. When calculating the indirect costs for other not-for-profit or industry sponsors, refer to the agency’s guidelines. If exclusions are not stipulated, then include all expenses, including subcontract expenses in the IDC calculation. Example 2 shows the IDC calculation for a proposal with three non-UC subcontracts. The MTDC includes the first $25K of each subcontract but split between two years because the first year of the CPMC subcontract is less than $25K. Therefore, we include only $11,000 in the calculation for the first FY and $14,000 in the second. Example 3 shows the IDC calculation for an industry contract. Given that no language from the sponsor was stipulated regarding the calculation of indirect costs, the indirect cost recovery will be calculated based on the full amount of the directs and indirects for all subcontracts each year.

If there is more than one PI from the same subcontracted institution on an award, the subcontracts are treated as separate subawards at UCSF but the calculation of the MDTC is as one institution. In this case, the NIH does not treat each subaward separately. If a PI at a subcontracting institution transfers to another institution part way through the subcontract, a new contract would need to be executed with the new institution. A request to rebudget can be executed if the new subcontract has a different F&A rate. If there is not enough money in the original award to cover the cost of the new subcontract after re-budgeting, then a supplement can be requested. Expense Calculation Subawards are expended into one of two NCAs in Weblinks, either the Subaward < $25K NCA, which includes F&A for UCSF, or the Subaward >$25K, which excludes F&A for UCSF. Contact A/P, which processes subaward invoices if there are discrepancies in the correct allocation of expenses. The account fund profile (AFP) in the DPA/Fund Inquiry in WebLinks will indicate which F&A rate as been assigned to the fund. The Expenditure Summary by NCA Group is the easiest way to view information about indirect costs hitting federal awards. Divide the total indirect cost budget by the total direct budget to confirm the correct rate is applied and do the same with the expenses to determine whether the indirect cost budget needs to be rebudgeted to or from the direct budget. Quality Improvement Project (QIP) Sharine Dinwiddie, the Project Manager of the Quality Improvement Project (QIP) initiative, spoke about the goals of QIP, the positive changes already brought about by QIP, and the process of working toward future changes. The QIP initiative is sponsored by the Research Administration Board, the Office of Research, and the Executive Vice Chancellor’s office. As a proactive process to improve the Office of Research, QIP aims to provide better support to the UCSF research community and to confirm assurance of regulatory compliance. QIP’s goal is to create an Office of Research where the future is determined by design, not by accident. To this effect, they are working to strengthen leadership, empower staff, maintain a systematic execution of plans, and structure their organization to include accountability. QIP will address the issues in the Office of Research by following the three-step process outlined below: 1) Analyze Procedures and Systems: • Analyze procedures and identify opportunities for improvement • Quantify workload and time-to-completion • Identify issues and prioritize



Develop standards for performance

2) Re-Engineer Procedures and Systems: • Define new processes and implement technological solutions • Evaluate pilot projects • Allocate resources appropriately • Monitor improvements 3) Maintain and Improve: • Monitor performance and report outcomes • Continually improve quality of output In 2007, QIP addressed the following areas within the Office of Research: Industry Contracts and Grants, the RAS team, and the Human Research Protection Program. The RAS Team, which is responsible for all grant-related data-entry into PeopleSoft, encountered challenges in the length of time for an award to be entered into the system. After reviewing their general processes and documenting the steps they took when entering awards, it was determined that finding physical file data was a significant issue leading to increased processing time. Key changes that QIP initiated within the RAS team were: • a switch from hard-copy documents to soft-copy pdf, which significantly decreased the misplacement of files • structured assignment of duties and areas of coverage for each team member • individual workload targets for each team member. The Industry Contracts division encountered challenges in the following areas: incomplete files, inconsistent procedures, and inefficient distribution of workload. QIP’s evaluation of the unit led to a reduction in time-to-completion of between 2-4 months. By developing standard office procedures and focusing on proactive responses to issues, the unit has streamlined their processes and addressed the acknowledged areas of vulnerability within their group. Although Sharine has not yet been able to complete her work with the rest of the Office of Sponsored Research, QIP is now focused on working with each of the groups within OSR to determine necessary changes to workload, process, assignment of duties, and individual targets.

There is no June RSA meeting due to the Annual RSA Retreat on Friday, June 20th. The next RSA meeting is scheduled for Thursday, July 17, 2008 from 8:30-10:00 AM in room LHTS 376.

EXAMPLE1: NIH FYO1 UCSFSUBTOTALDIRECTCOSTS F R E DH U T C HD I R E C T MT. SINAIDIRECT UC DAVISDIRECT SUBTOTAL F R E DH U T C HI N D I R E C T M T .S I N A I N I D I R E C T UC DAVISINDIRECT F&A TOTAL CONSORTIUM SUBTOTALDIRECT

FYOZ

200.000 125,000

206.000 128,750

67.950 213,456 606,406

69.989 219,860 624,598

0.1

12.500

12.875

0.1 0.1

6,795 2 1. 3 4 6 40,641

6,999 2 1. 9 8 6 41,860

647,CI47

666,458

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