MTP Cases: Understanding Economic and Fiscal Realities for Successful Academic Careers

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Understanding Economic and Fiscal Realities for Successful Academic Careers

The following case scenarios are to assist you in thinking how challenging conflicts or situations could be handled best in mentoring when aspects of understanding economic and fiscal realities for successful academic careers are concerned.

Understanding Economic and Fiscal Realities for Successful Academic Careers

Directing grants and contracts

You are a mentor to a newly hired junior faculty member, who is part of a collaborative award and needs to submit a subcontract. Your mentee has several grants and contracts that s/he will be bringing to the university as part of their research activity. What are the challenges for bringing grants and contracts to UCSF? What happens if the person is being recruited to the VA? Where are the grants directed? How should the prioritization process proceed for grants and subcontracts? What are the key offices that will help with the transfer?

Comment 1: First and foremost how do you identify the Research Services Administrator in your program? The career mentor should be able to provide junior faculty the inside scoop as far as their abilities strengths and challenges but if you have a different Research Services Analyst how do you learn about them and what they can do for you?. If there are serious deficiencies...this would be an important topic for the mentee to have with the Chair and their Career Mentor to quickly sort out the short term solutions for the immediate transfer of grants and the long term plan for the mentee to successfully submit future grants. We need to investigate, if there are adequate resources to identify Research Services Analysts and what they do for the faculty.

UCSF Resources include: Research Services Analyst Resources

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Negotiations with industry

Your mentee is negotiating a new project with an industry partner. He has identified a new protein that is of interest to industry but has not much experience with these partnerships. What are the best ways to establish a relationship with the sponsor?

Comment 1: This website offers information about working with industry, including aspects of industry-sponsored clinical trials, consulting for a company, meeting with company representatives, Material Transfer Agreement (MTA), licenses, technology assessment and company formation. You also have the opportunity to ask an expert.

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Your mentee transfers several grants and contracts to the university

You are a mentor to a newly hired junior faculty member, who is part of a collaborative award and needs to submit a subcontract. Your mentee has several grants and contracts that s/he will be bringing to the university as part of their research activity. The project has not started yet and contract language is being developed. What advice would you give?

Comment 1: It is important to clarify issues of budgets, such as whether the mentee has a per patient cost or should he cost out the budget based on the protocol determined activities? The issue here is also how to develop a budget for work conducted with an industry partner, specifically insuring that the mentee has adequate funding to perform the study including any pre and post work. Another important point of advice may be: Don't operate a study site unless the protocol is well-written. Can your mentee actually recruit the participants needed in the allotted time? If you as his mentor haven't worked with industry before should you refer him/her to a colleague to clarify these issues?

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Assistance with navigating the start-up phase for clinical trials

Your mentee was recently approached by a Contract Research Organization (CRO) to participate in a phase III clinical trial. He is interested in participating, but is not experienced with industry-sponsored trials and needs assistance with navigating the start-up phase. You have offered to document the steps, incorporating your institutional policies, to proceed from notifying the CRO that "yes, I would like to consider participating" to having a fully executed contract and ready to begin enrollment. What resources would you recommend to the mentee? Include any available tools provided by your institution, i.e., institution specific budget templates.

Comment 1: The website of the Clinical & Translational Science Institute offers information about working with industry, including aspects of industry-sponsored clinical trials, consulting for a company, meeting with company representatives, Material Transfer Agreement (MTA), licenses, technology assessment and company formation. You also have the opportunity to ask an expert.

In general, it is very worthwhile to review all of the information included at: When and how I might benefit from interactions with industry?

Then find a mentor who has done the particular type of industry collaboration you are interested in and who can fill in between the lines. Best to be well prepared before proceeding!

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Inheritance and transfer of an industry driven project

Your mentee might be inheriting an industry driven project or may be transferring the project from on site or one university to another. In this case the contracts are established, the project could be ongoing or the project could be winding down and the manuscripts are being written. For these two scenarios consider the following issues: Why were there residual funds? Are there other accounts for discretionary funds? What are the limits funds to various accounts? Can a mentee take discretionary funds with him/her if s/he leaves the university?

Comment 1: This is good budgeting. It is always nice to have been even more efficient than planned so you have a reserve for the times you're not. This is different from a NIH grant—it's okay with an industry grant to have money left over and you can keep it for those dry times.

Comment 2: Establishing a University of California (UC) Regents Account is good.

Comment 3: It might be important to pay attention to contractual language to allow funds to remain with you and the university.

Comment 4: Cost Accounting Standards (A21) compliance—with funds—don't get caught with costs that will be found at audit after the study is completed and you may or may not have funds to cover the audit detected changes that have to be made to your accounts.

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Principal investigator responsibility for financial management

Your mentee comes to you because despite careful attention to grants, he will not have sufficient funds to cover staff, expenses, rent, and complete the industry or NIH funded project. The budgetary reports were not provided for the past six months so the shortfall was not noticed. Can you shift various costs from this project to other funds? Do they have discretionary funds? How do you discuss this with your lab or division chief?

Comment 1: The mentee and his/her career mentor from the department need to meet with the Chair. This is unacceptable and the Chair needs to know.

Comment 2: The Principal Investigator has primary responsibility for financial management and control of project funds in accordance with University and sponsor policies and procedures. The campus controller is also responsible for many of the management and control responsibilities listed in 6-430 as well as those listed in 6-460. Some of the responsibilities are shared with others, including the contracts and Grants Officer, Department Chair and College Dean. However, it is the Principal Investigator who is involved in all aspects of award administration.

Comment 3: 300-19 III A. 4—The principal investigator must exercise caution so that the expenditures incurred under each project are within the total authorized budget. In the event of cost overrun, the principal investigator is responsible for the transfer of such overrun out of the project. 300-19 III B. 4 If an overdraft is not cleared by the principal investigator in a timely manner, the Accounting Office has the authority to transfer the over-expenditures to other funds.

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Problems with accounting and submitting their invoices with existing subcontracts

Your mentee comes to you concerned that there are large amounts of undistributed costs that have not been recorded on the ledgers yet. In part there are problems with accounting with colleagues assigning costs and with other institutions submitting their invoices with existing subcontracts with the University of California (UC). What advice can you give for each of these situations?

Comment 1: It is important to plan and anticipate when it is known that grants and subcontracts are being negotiated. One should plan for the next funding cycle when the first one grant or contract is signed.

Comment 2: Although the mentor must balance the needs of the institution and program, the mentor's primary obligation is to the mentee. It is important to get the mentee to think about what it is that they want from their career, their personal life and their family life. The mentor should be supportive regardless of the mentee's decision.

Comment 3: Don't be afraid to open doors and involve the mentee with administrative processes and people that are likely going to improve the mentee's ability to understand finance matters.

Comment 4: Don't forget the institution. The mentor needs to keep the rules of the institution (e.g., what is allowed and not allowed for budgeting purposes) when advising the mentee.

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Assistance for entrepreneurial opportunities

Your mentee expresses an interest in entrepreneurial endeavors and seeks to become more knowledgeable about translating life science innovations from academia to industry. Is this encouraged? How does one increase the chance for success in spinning off a company or working with industry partners? How is this evaluated by others within the University? What structures help an individual develop an entrepreneurial activity and remain at UCSF (or leave)? What are the right circumstances or reasons for a person to leave UCSF for a position in the private sector? How do you evaluate entrepreneurial opportunities or activities?

Comment 1: For individuals who want to explore the entrepreneurship route, there are rich entrepreneurial resources available within UCSF Center for BioEntrepreneurship (CBE). Given the increasing interaction between academia and industry, there are many pathways for exploring entrepreneurial opportunities. It is now recognized that research, clinical, and entrepreneurial activities can be combined into a successful career. For instance, the CBE educates students and faculty in the business of science through courses & programs, sponsors events (such as Idea to IPO, Intellectual Property, Financing, & Scientist to CEO), translates discoveries into improved health care and commercializes innovations, brings together academic scientists and clinicians with bio/pharma industry experts, provides unique formats to pitch innovative ideas to venture capitalists for funding, prepares and educates the next generation of life sciences industry leaders, and explores a wide range of alternative career options within & outside the ivory.

Comment 2: There are also unique funding sources (e.g., NIH—Small Business Research Funding Opportunities available to support Research & Development (R&D) of innovative new drugs, devices, diagnostics, research tools, and healthcare technologies with the potential for commercialization.

Comment 3: Introduce mentees to alternative sources of funding via Small Business Innovation Research (SBIR) grants and Small Business Technology Transfer (STTR) grants, and learn about their benefits, challenges, and fiscal realities.

Comment 4: If your mentee applies for a Small Business Grant you can support him/her by serving as PI, subcontractor, or consultant on a small business grant application. This way your mentee can take advantage of easier funding tailored to emerging companies. Mentors can further assist their mentees in helping them identify small business grant opportunities in government agencies, understand the pros and cons of SBIR/STTR grants, how to become involved in academic-industry partnerships, and interact with federal granting agencies and program staff.

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Problems in the administration of the grant and budget

After being awarded an R01, the awarding institute changed the fiscal year from October-September to June - May (shortening the first year award), the UCSF Administrative analyst was aware of change and the mentee met with him/her quarterly to go over the budget, taking care to remind him each time about the short year and our intention to have a no cost extension. The mentee was reassured that all was fine. In the final year of the budget the administrative analyst left and another person took over the grant and budget. The new analyst seemed to understand the "short" year and assured the mentee that s/he could go to November, and in fact showed him/her a budget to that effect. This analyst, too, left. A third person who took over the grant and budget told the mentee s/he was running out of money May 31 and had no carry forward funds. The mentee was appalled, having asked the new analyst to send him/her the ledgers—on the recommendation of a colleague who does her own budgets. The mentee observed some new costs and some issues, but not enough to make him/her run out of money. There are costs problems stemming from budget office activities that should be from indirect costs but instead seem to be paid for from direct cost funds. The mentee suspects s/he is "screwed". Is she? What can the mentee do and what kind of documentation is needed if there are problems in the administration of the grant and budget? How can you as a mentor assist? Is one "all alone" when the grant funds go sour or do you have recourses? How soon should one act and what are your avenues of action?

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Mentoring for grant application

Your mentee finds out from another research institution about money available for his/her research. Time to respond is short and if s/he doesn't, funds will evaporate. If s/he follows the Department's standard operating procedure for pre-award, s/he would have submitted budget materials for assembly three weeks ago in order to meet the internal deadline. S/he knows that the Department's pre-award person is stressed out and overloaded with proposals already in the queue, yet s/he doesn't want to miss this opportunity for $150k. S/he has the feeling that the pre-award person will put the kibosh on it for being so late if s/he goes through him. What would be your advice? Should your mentee do a bypass standard practice by putting together some rough numbers for personnel and his/her best estimate of the supplies costs, a foreign subcontract, some travel, overhead, etc. and email it out him/herself to the PI at the other institution? Your mentee's pre-award person can always back into the numbers and clean them up later. Should your mentee look for the next round and skip on this one? Should s/he ask for help from another pre-award person in your division, department, or school? How would you ask and whom would you ask for help? What kind of help or support can your mentee expect in this situation?

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Zeroed project fund—charged and put into overdraft

You mentee's new Research Special Analyst discovers that several expensive transactions involving shared equipment were never distributed across the proper projects, some of them years old. The analyst tells your mentee that now that she has found these errors and that they involve federal projects; she is obligated to correct them. This will mean a zeroed project fund of your mentee’s will now be charged and put into overdraft. Also, other projects may suddenly have credits in them that can't be easily accessed. What are your mentee's options in this regard? Is it the Department's responsibility to cover the overdraft? How could your mentee have known? Could someone else have known?

Comment 1: The mentee can argue with the analyst that she should leave sleeping dogs alone or defer to her and try to strategize how to cover an unexpected $10k overdraft on an old closed project.

Comment 2: If it is the mentees' projects that are in overdraft, the department may ask him/her to cover. The small pots of "credit" should be able to be contributed towards zeroing out the balance. Hopefully the department has a system of regular oversight to review project budgets and expenses. Then it becomes easier to explain the appearance of a sudden overdraft as unforeseen and unexpected. Quarterly meetings may be a good interval.

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Mentoring for loan repayment programs

You have a mentee who is in the beginning of his/her last year of residency and will be starting a two-year research fellowship in your division. S/he has $200,000 in educational debt and is interested in applying for the Loan Repayment Program. During the fellowship s/he will be completing a Master's in Clinical Research. S/he wonders whether it would be better to apply now, next year, or in the future. How would you advise her regarding timing of application? Can s/he apply now? What are the problems with applying next year? What are his/her chances of success? If awarded, what are his/her tax obligations relative to state and federal taxes?

Comment 1: Information regarding Loan Repayment Programs (LRPs) are a vital component of our nation's efforts to recruit and retain highly qualified professionals to careers in priority research areas. The NIH annually awards loan repayment contracts to approximately 1,600 health professionals. Approximately 40% of new and 70% of renewal applicants are funded each year. The NIH will repay up to $35,000 annually of qualified educational debt for health professionals pursuing careers in one of the five LRPs: Clinical, Pediatric, Health Disparities, Contraception and Infertility, and Clinical Research for Individuals from Disadvantaged Background. The programs also provide coverage for Federal and state tax liabilities. To qualify, applicants must possess a doctoral-level degree, devote an average of 20 hours per week or more to research funded by a qualifying domestic non-profit organization, university, or government entity (NIH grant support is not required). New applicants must also have outstanding educational loan debt equal to at least 20% of their institutional base salary and be a U.S. citizen or permanent resident. It is possible to access the online application and a full list of eligibility requirements.

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Foundation support for research

NIH funding seems to be more and more of a challenge and your mentee thinks that there might be some interest in private sources. The sources your mentee has the most interest in stem from either private enterprises or from private foundations. Public foundations are also possible. What is the best way for your mentee to reach these sources? Who could help your mentee identify new sources of funds? What is expected? After some search your mentee hits on the Commonwealth fund. Who can introduce him/her to this agency? What will the application look like? What other foundations are similar? How can your mentee increase the value of his/her application? What other faculty have received funding from the Commonwealth fund? Can they help the mentee?

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Gifts and grants

Although it appears that it would be an easy thing to distinguish a gift from a grant, in reality there are often grey areas. As donors have become more sophisticated, it is now standard for some to stipulate a project period, require a brief "financial" report and that unspent funds be returned, etc. Thus, identifying whether funding is a gift or a grant requires judgment and can be subjective. If your mentee approached you, how would you explain the difference between a gift and a grant as currently defined under UCSF policy? What can gift funds be used for?

Comment 1: I would say this summarizes the differences between a gift and a grant.

Gift Grant
Irrevocable Revocable
Philanthropic intent Exchange transaction
Recipient defines performance objectives and timetable for meeting objectives Sponsor defines performance objectives such as detailed report with a timetable for meeting objectives
No obligation to report beyond routine stewardship reporting Technical, financial reports to sponsor
No scope of work Scope of work
Gift fees Overheard charged

Comment 2: If the donor is merely looking for a report similar to what would be provided to any donor as good stewardship, e. g, a list of scholarship recipients, a report of how funds were spend, the donation can still be a gift. However, if they are looking for specific information that could be useful to another party or gives them an "advantage" it could be a grant.

A naming gift from an individual is likely a gift; if it is from a corporation, there would need to be a more rigorous review to ensure it does not reflect an endorsement, but rather the philanthropic intent of the corporation. There would be more concern if the corporation was in the medical or pharmaceutical industry.

The fact that funds are received for specific research may also not indicate a grant. The donor may be specific to ensure the funds are used as intended. When looking at specific research, we may consider who initiates the research. If it is the private foundation, then it is likely a grant; if UCSF has initiated the research, it is likely a gift. The donors could be individuals, foundations and other nonprofits, alumni, corporations, campus support groups; most gifts are of cash or securities.

Comment 3: Current Funds are "Checking Accounts"—They are spendable funds meant to be used for research, teaching, buildings, etc, as intended by the donor, and they may be comprised of direct gifts or endowment income. Endowment gifts are permanent resources of UCSF that the donor stipulated be invested to generate a future income stream that supports the activities as intended by the donor. True endowments are permanently invested and may never be spent. Fund functioning as endowments are also invested but may be liquidated and spent under certain circumstances.

Comment 4: This would be specified by the donor. Ideally the donor will tell us what school their gift is intended for, the purpose (buildings, research, scholarships, etc.), and whether the gift should be used currently or placed in an endowment.

Comment 5: We receive very few truly unrestricted discretionary gifts that can be used at the Chancellor's discretion. PI's may receive gifts that they can use at their discretion in for their program and these are considered restricted gifts. Gifts are made to UCSF or UCSF Foundation, and may be for the use of individual PI's, but they cannot be taken with you if you leave UCSF.

When you get a gift, it will be allocated to an existing fund that is a match to the donor's intent, or if there is no appropriate existing fund, a new fund will be established. There are specific gift fund ranges that are familiar to departmental finance and accounting staff.

Gifts to UCSF can be spent directly out of campus gift funds. Gifts to UCSF Foundation will need to be transferred out of the Foundation and into a campus fund where funds can be spent. Departmental finance and accounting staff are familiar with the Transfer of Funds process.

Instructions on how to submit a gift for processing, and how to transfer funds out of the Foundation can be found at Gift Processing & Funds Transfers.

Gifts that can no longer be used as the donor intent should be returned to the donor, or the donor may agree to allow their gift to be used for some other purpose. Residual funds are likelier to be a problem with grants since they are for discrete projects.

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Callison Foundation and Hemphill Trust (two small, local family foundations)

A faculty member was interested in exploring foundation support for a direct service program focused on providing medical care to homebound elders in San Francisco. This faculty member works with a major gifts officer, who is assigned to the division of geriatrics. The faculty member contacted the major gifts officer to share their program and funding need, who then visited with the Corporate and Foundation Relations (C&FR) team, a centralized unit within UDAR to learn about foundation and/or corporate prospects. This team is organized as a centralized team with UDAR, with five directors – a foundation relations director, a corporate relations director, a sponsorship associated director, a corporate and foundations relations director, and a corporate and foundation relations senior director. Each of these directors manages a portfolio of approximately 60-80 foundation and corporate prospects, and is responsible for the development of strategies to optimize funding from these entities on behalf of UCSF, and in particular the priorities of the campus.

The faculty member was asked to complete a project worksheet (see attached) to begin the process of researching and identifying potential foundation prospects. C&FR conducted research and identified approximately seven small, regional, family-type foundations that may be aligned with this specific elders program. Many of these small entities were not assigned to a specific CFR director, and therefore considered new prospects.

An initial strategy was developed with the faculty member to review all of the foundations that were identified with the following key components—a closely aligned interest with the program (health care service and elders), accepted letters of inquiry and/or a proposal, and gave to universities, clinics or hospitals. A boiler-plate letter was drafted, and then reviewed in light of the guidelines for each foundation prospect. A funding request was identified based on the foundation’s previous giving range, and capacity to give. These letters were then sent to each prospective foundation – five in total.

The outcome of this effort included successful grants from two local foundations – the Callison Foundation ($30,000) and the Hemphill Trust ($10,000). Both organizations accepted letters of inquiry, and indicated they gave to SF-based organizations focused on elders and healthcare. Both organizations did not request more information or a full proposal, and made their decision based on a letter of inquiry.

Because these two funders were new entities and had never giving to UCSF in the past, we needed to learn if UCSF could receive the funds as gifts. We believed the program request was consistent with a gift to the UCSF Foundation; however, we were not familiar with any conditions the foundations would place on UCSF for its funding. For instance, if the foundation requested financial and program progress and annual reports, we may not be able to receive the funds as gifts. As a result of good communication and discussions with the UCSF Foundation’s financial and gift administration management team, it was determined both of these entities accepted our conditions of a gift and the funds were deposited within the UCSF Foundation to be distributed to the faculty member.

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William B. Gates Foundation (a large and complicated international foundation focused on global health)

A faculty member was interested in exploring the Bloomberg Foundation as a potential funder for a Center. The faculty member shared this idea with a major gifts officer assigned to him through the University Development and Alumni Relations department at UCSF. The major gifts officer then visited with the Corporate and Foundation Relations team, a unit within UDAR. This team is organized as a centralized team of UDAR, with five directors – a foundation relations director, a corporate relations director, a sponsorship associated director, a corporate and foundations relations director, and a corporate and foundation relations senior director. Each of these directors manages a portfolio of approximately 60-80 foundation and corporate prospects, and is responsible for the development of strategies to optimize funding from these entities on behalf of UCSF, and in particular the priorities of the campus.

The director assigned to the Bloomberg Foundation was asked to research this foundation for a potential alignment with the Center. As part of the research process, the director met with the faculty member to learn about the Center’s interests and funding needs and reviewed the Bloomberg Foundation’s published guidelines, financial documents, IRS tax returns, recent grants, and other published press releases and information. Through the research process, it was determined that the Bloomberg Foundation was NOT a good match for the Center at this time for the project being considered; however, the Gates Foundation was identified as a potential prospect.

The information gathered on both the Gates Foundation and the Bloomberg Foundation was shared in a development and strategy document with some initial recommendations to the faculty member for further research and qualification. Specific attention was given to learning more about the alleged $125 million Gates Foundation tobacco initiative. Questions we believed needed to be answered included: 1.) Who are the leaders within the Gates Foundation driving the initiative for tobacco control? 2.) Does UCSF have a connection to these folks? 3.) What is Gates Foundation’s strategy for giving to tobacco control internationally?

To learn more, Medeiros suggested asking one of her Gates Foundation contacts to learn if there was a team focused on Tobacco at the Gates Foundation. We were connected to the team through this contact, and met with the program officer and the consultant by phone to explore and learn more. During this initial meeting, we also learned who the director was, and UCSF’s connections to these the Gates Foundation on behalf of tobacco programs. Gathering this kind of information was very important to the process, especially because the Tobacco Initiative did not indicate it would accept letters of inquiry. We also wanted to learn the strategy around recent giving, and if there was an opportunity to submit a proposal from UCSF. Other important information we needed included: How much should UCSF request, who should receive our proposal, and if there are any gaps that UCSF could fill, based on our capacity.

Based on this initial research and qualification discussions, the Center has decided to develop a $3-5 million proposal in collaboration with faculty members interested in global tobacco control. The initial proposal is being developed and will be reviewed by the faculty over the next couple weeks. The Gates Foundation is a formal foundation, and has a strong history of giving to UCSF, in the form of grants. Because the proposal will be exploratory, and drafted as a letter of inquiry, it will not need prior approval from the Contracts and Grants division. We believe this proposal (if invited) will have many hallmarks of a grant, including a detailed program description, timeline, objectives, evaluation mechanism and line-item budget and narrative.

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University start up funds

You are mentor to a newly hired junior faculty who was recruited by UCSF last year through a national search. As part of her recruitment package, she was promised start up funds in the amount of $75,000 per year for two years. Your mentee has used her first year of start up funds, but has not received the second year of funding. She is currently in need of these funds to advance her research project, but when she approached her division chief, she was told that due to recession and university financial problems, funds may not be available. What should your mentee do?

Comment 1: All faculty at UCSF receive an offer letter and sign a contract with their division chief and department chair at the time of their recruitment. This is a binding contract through which the faculty and the university should resolve their disputes. The mentee should use her offer letter and contract and discuss with her division chief their mutual obligation.

The mentee should discuss the situation with her mentor, division chief, and department chair. In general, the funds that are promised to recruited faculty should be assigned and protected. Were the funds promised to the mentee inappropriately or were they depleted for some other unforeseen reason? The best way to resolve this situation may be through negotiation.

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Conducting pilot research on a small budget

Your mentee is trying to conduct pilot research on a shoestring budget. She can afford to pay her research assistant for 20% time but really needs someone full time. The RA is so dedicated to the research she has offered to volunteer for the other 80% time. Is there a problem with such an arrangement? Who can you talk to at the University to find out?

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Understanding the system

The primary department and a UC affiliated institute want to "share" a faculty member. The primary UCSF department cites a policy that requires that all grants go through the department and interprets this policy to mean that even if the work is to be entirely done at the UC affiliated institute, that the department must get the grant. The UC affiliated institute refuses to do this and an impasse occurs in which the faculty member is working at the two sites, but gets no benefit from the position.

Comment 1: As with all things, it's wise to pick your battles carefully. This somewhat depends on who the UC affiliate is and if this is likely to be a recurrent or one-time event. If it is an eligible applicant institution (often they aren't) by the funding agency standards, then there's no reason this shouldn't be possible. Assuming that the faculty member has an official appt at both institutions and the work will be entirely completed at the partner institution, I would have a discussion with the chair (not a policy-rigid MSO) about this. If the chair is the issue, perhaps they could speak to a senior member (vice-chair etc) of the dept to seek their help. Another option is to make another researcher (if one exists) with primary appointment at the affiliate PI and they serve as a co-PI. Perhaps the mention of doing this to the chair would help them acquiesce. Depending on who the chairs at both institutions, perhaps have them talk so that the UC chair might understand the unfairness of the UC-only first policy. And, to be clear, this is not UC policy—its discretionary based on the circumstances (do they have an appt at both institutions). A fair and reasonable chair should understand and approve this arrangement. Perhaps the offer to alternate the prime role of subsequent proposals would be a compromise. Still, the bottom line is that the primary institution will be responsible for the financial management of the award and provide the physical space so it is only appropriate that they receive the in directs.

Comment 2: This was very helpful, particularly the comment that this was not UC policy as it has most certainly been presented this way to me. I have been told that only the Chancellor (or her designate) can make an exception to the 'rule' and as a result, this issue is still not resolved.

Comment 3: I think the major problem is that this really should have been worked out in advance. It's typical for UCSF depts. To insist that any grant on which a primary appointment faculty is pi should go through the dept, but exceptions can be made with prior agreements. There seem only 2 ways out here: 1) the affiliate agrees to subcontract to UCSF (or vice versa, which is unlikely) or the chiefs of the 2 units (dept and affiliate) agree on some ground rules for which institution holds the grant, perhaps based on where the majority of the work is done.

Comment 4: What was helpful about this comment was the reminder that all of this should have been worked out in advance. Unfortunately, I have been doing this job with no compensation or even an in residence position since last March. My fault for not being firmer.

Comment 5: With respect to comment 1, this is a common situation and puts the faculty member in a very difficult situation. This is something that absolutely requires a face-to-face discussion between the dept chair and the director of the Organized Research Unit (ORU) and if not resolvable, then it should be run right up the ladder (Dean, Chancellor). Lastly, this should be something that is part of the "checklist" at the time of appointment to minimize these issues which are particularly common, particularly as dept chairs and ORU directors change over time. Needs written confirmation at the time of these dual appointments.

Comment 6: The chairs of these two places are talking to each other; it's just that no agreement gets reached. I do appreciate the reminder to get this all in writing when it finally does settle.

Comment 7: This would seem appropriate to discuss with your school's Dean of Academic Affairs to provide insight and guidance. It sounds to be in the best interest of the faculty to have dual appointments and someone—the department and/or ORU—need to consider the faculty member as well as their institution. Certainly, each dept/affiliate institution also needs support ("indirects") to maintain their research infrastructure that is not covered by grants but is provided to get grants done and out the door.

Comment 8: The dept that devoted the administrative help to put the grant together and do all the paper work should get the grant and manage the grant. How was the budget determined—the indirects are not at the same rate when the grant takes place off-site; if it is really happening off-site, then UCSF should have a sub-contract with the affiliated site. A funded grant could be re-budgeted to reflect reducing on-site indirect costs and moving those savings toward a sub-contract as part of the direct costs for the UCSF dept.

Comment 9: In general, shining a bright light on an issue like this—consulting with senior faculty, Dean's, MTP directors etc. helps too!

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