Transcript NIH Grants and the Role of the Grant Manager at Caltech

NIH Grants and the Role of
the Grant Manager at Caltech
Samantha J. Westcott
Grant Manager
Division of Biology
May 19, 2003
Refresher of NIH Grant Overview



Grant Definition
Characteristics
Grant Award Types: Award Mechanisms
Definition of a Grant

A financial assistance mechanism providing
support – most often monetary – to an
eligible entity to carry out an approved
activity.
Characteristics of a Grant







Awarded in response to a proposal
Support for a specific project
Investigator initiated
Period of performance
Approved budget
Awarded to an institution
Subject to Rules, Regulations and Guidelines
Award Mechanisms at the NIH





Research Projects
Career Programs
Fellowship Programs
Training Programs
Other
How exactly is
this done at
Caltech?
Institute Proposal Documents

Division Approval Form (DAF)



Faculty Support Memorandum


Routing and Data Sheet
Needed for All New Proposals through
Sponsored Research
References Chapters 4 and 7 of the Faculty
Handbook
All Sponsor-required Documents
Research Projects

Postdoc
responsibilities:



Obtains support from
faculty sponsor
Prepares application
Faculty
responsibilities:

Memo to Chair and
Vice Provost
supporting Postdoc

Institutional
requirements:

Division Approval
Form (DAF) signed by:




Postdoc,
Faculty Sponsor,
Chair, and
Vice Provost
Career Programs

Postdoc
responsibilities:



Obtains support from
faculty sponsor
Prepares application
Faculty
responsibilities:


Memo to Chair and
Vice Provost
supporting Postdoc OR
Serve as Co-P.I.

Institutional
requirements:

Division Approval
Form (DAF) signed by:





Postdoc,
Faculty Sponsor,
Chair, and
Vice Provost UNLESS
Faculty serves as CoP.I.
Fellowship Programs

Postdoc
responsibilities:



Obtains support from
faculty sponsor
Prepares application
Routes and submits
application

Faculty
responsibilities:



Provide resources
Sign as sponsor
Institutional
requirements:


Currently under review
Sign for Institution
Budget Creation Process

Budget Items







Personnel: Salary and Fringe Benefits
Consultants
Equipment
Travel
Supplies
Other Direct Costs
Consortium/Contractual: Subcontracts
Personnel Costs: Salary + Benefits

Salary


Use actual salary or
inflated for future years
at 3% annually
Calculate effort
percentage to determine
salary cost:
Salary rate x effort % = salary
support cost

Fringe Benefits


Dependent upon Fringe
Benefit (F.B) rate –
currently 27%
Calculate benefit costs
using F.B. rate:
Salary support cost x f.b. rate =
benefit support cost
How to calculate percent effort?

Postdoc: what’s reasonable


Factors involved
PI or co-PI



Factors involved
No individual may record effort greater than
100%
A person may be listed on a grant with no salary
but not without effort, except in very special
circumstances
Consultants



A consultant is an individual or firm retained to
provide professional advice or service on a project
for a fee.
Under no circumstances can an individual be paid as
a consultant and an employee under the same NIH
grant.
If using consultants, calculate the cost of the time
projected against the rate of the consultant:
Consultant Hours x Hourly Rate = Consultant Costs
Equipment

Estimate cost of equipment using current
sources of accurate information:




Catalog Prices
Vendor Price Lists
Provide a list of each piece of equipment and the
related cost
Caltech definition of equipment


Price at least $5,000
Lifespan at least 2 years
Travel

Estimate travel costs:



Number of travelers
Function or event (meeting, conference, etc.)
Estimated cost per traveler
# of travelers x cost per trip = travel costs
Supplies

Estimate cost of supplies using current
sources of accurate information:


Typical expenditures for similar projects
Detailed expendable items:


Glassware, plasticware, lab supplies, software, etc.
Provide a list of each type of supplies and the related
cost for that group
Other Direct Costs

Provide a list of each cost and the related
expenditure






Publications
Long Distance Telephone
Library Charges
Research Subjects
Etc.
Verify allowability by sponsor if unsure
Subcontracts




Request a detailed budget from each
subcontractor
Include both the direct and the indirect costs
of the subcontractor in the Direct Costs of the
budget for the proposal
Subcontracts occur when another institution
conducts a portion of the scope of work
Subcontracts are project-specific
Indirect Costs

Terms:




Facilities and
Administrative (F&A)
Overhead
Indirect
ALL mean the same
thing!
Calculating Indirect Costs: Federal
MTDC x IDC rate = Indirect Costs

Modified Total Direct Costs (MTDC)


Direct Costs minus exclusions
Exclusions



Equipment > $5,000 and lifespan > 2 years
Subcontracts after first $25,000 for each site
Tuition Remission
Sample IDC Calculation

Budget:
Personnel
Consultants
Equipment
Travel
Supplies
Other Direct
Subcontract(1)
Total

$25,000
$ 5,000
$10,000
$ 3,000
$10,000
$ 2,000
$45,000
$100,000
Total Direct Costs:
$100,000

Exclusions:
Equipment
Subcontract
Total

$10,000
$20,000
$30,000
MTDC:
TDC – Exclusions =
$70,000
Indirect Cost Calculation
MTDC x IDC rate = Indirect Costs

MTDC = $70,000

IDC Rate = 62% (currently)
$70,000 x 62% = $43,400

Indirect Costs = $43,400
Total Cost Calculation
Total Direct Costs + Indirect Costs = Total Costs

TDC = $100,000

IDC = $ 43,400
$100,000 + $43,400 = $143,400

Total Costs = $143,400
The Role of the
Grant Manager
Samantha J. Westcott
Grant Manager
Division of Biology
May 19, 2003
Proposal Development at Caltech
P.I.
creates
proposal idea
& plan
P.I.
Finalizes &
routes
proposal
Caltech
Review, approval
& submission
Divisional
Review &
approval
Grant
Managers
support
entire
process
Role of Grant Manager




Varies from Division
to Division
Workload driven by
faculty and researchers
Support research by
handling administrivia
Trained in areas of
sponsored research
administration
Division of Biology Grant Manager

Responsibilities:


Constituency of faculty and non-faculty researchers
Oversee all aspects of fiscal management



Support all funds




Proposal preparation and submission (Pre-award)
Financial and administrative oversight (Post-award)
Sponsored Research
Gift
Endowment
Oversee fiscal management of facilities
Grant Manager Skills: Pre-Award


Finding funding opportunities
Review and support of proposal development






Program Announcements
Forms
Budget
Overall Coordination
Routing
Liaison with Division and Institute
Administration
Grant Manager Resources: Pre-Award

Samples and instructions





Forms
Proposals
Budget Preparation
Sponsor Information
General Questions and Answer Support
Grant Manager Skills: Post-Award


Spending and Budget Projections
Review and support of annual reports





Sponsor Requirements
Forms
Routing
Liaison with Division and Institute
Administration
Continuation, Transfer, or Close-Out
Grant Manager Resources: Post-Award





Sponsor Information
General Questions and Answer Support
Spending Decisions
Strategic Planning
Guidance for following Terms and Conditions
Grant Manager Limitations




Workload driven by
faculty & deadlines
we do not control
Broad spectrum of
responsibilities
NOT researchers
NOT scientists
Fiscal Management: Strategies




Follow spending on at least a monthly basis
Develop a means to project for future
spending
Know the sponsor guidelines for carryforward of either deficit or balance
Monitor the end date and project for any
needed extension
Allowability: The Bad News

Significant Rules to remember:

Fly American Act






U.S. Flag Carrier for all travel
Foreign or Domestic
NO Alcoholic Beverages
NO Entertainment
NO Office Supplies
NO Clerical Support
Allowability: The Good News

Significant Rules to
remember:

Federal Demonstration
Partnership (FDP)



Automatic carryforward
Easy No-Cost Time
Extension (One Year)
No permission needed
to spend differently
from original budget
Strategic Planning






Consider submission deadlines
Consider review process timeline
Project when funding increases are needed
Build funding around specific projects
Apply for more than one sponsor with same project
If it is necessary for the work, request it
NIH Submission and Review Dates
STANDARD RECEIPT DATES AND
REVIEW AND AWARD CYCLES
TYPES OF APPLICATIONS
CYCLE I
CYCLE II
CYCLE III
Application Receipt Dates *
All (new, competing, revised, and supplemental)
Program Project and Center Grants
February 1
June 1
October 1
Competing Continuation, Supplemental,
and Revised Grants
March 1
July 1
November 1
Individual NRSA (Standard) ***
April 5
August 5
December 5
Review and Award Schedule
Scientific Merit Review
June-July
October-November
February-March
Advisory Council Review
September-October
January-February
May-June
Earliest Project Start Date
December
April
July
Timeline: NIH Recommendation

Six months prior:


Outline Specific Aims
Talk with Program Officer/Peers/Mentors




Determine appropriate institute and study section
Edit and finalize specific aims
Plan for Preliminary Data completion in 3 months
Notify Grant Manager of planned submission
Timeline: NIH Recommendation

Three months prior:




Prepare entire application
Seek review by Peers and Mentors
Secure commitment in writing from Institution
Two months prior:

Rewrite based on suggestions and ask for final
review
Timeline: NIH Recommendation

One month prior:






Prepare final version
Gather and validate all forms
Route application for sign-off
Prepare cover letter requesting institute, study
section and any additional review areas
Package application
Submit to NIH
Transferring: New Institution

Administrative resources



Assistants, Grant Managers, Sponsored Research Office
Generally, administrative support unallowable on research
funding
Progress and Tools

Electronic systems:



Electronic Research Administration – NIH Commons, NSF
FastLane, etc.
Budget reporting and monitoring
Limited resources and tools = doing the
administration without help
Transferring: Funding




Notify Grant Manager
Notify Program Official
Develop a timeline
Considerations:




Relinquishment vs. subcontract
Equipment transfer
Close-out
Application from new institution
Hints & Tips





Notify Grant Manager of plans
Confirm plans with Grant Manager
Monitor your budget
Do not overspend, do not under spend
Plan for new funding



Before current funding ends
As needs arise
As ideas develop
Biology Grant Manager Constituency
Carol Irwin
Roxanne Carlisle
Csilla Csori
Samantha Westcott
Attardi
Bronner-Fraser
Alberola-Ila
Allman
Benzer
Fraser
Baltimore
Andersen
Deshaies
Laurent
Davidson
Anderson
Hay
Shimojo
Dunphy
Bjorkman
Koch
Siapas
Kennedy
Chan
Lewis
Lester
Elowitz
Meyerowitz
Simon
Jensen
Revel
Vashavsky
Konishi
Rothenberg
Mayo
Strauss
Patterson
Wold
Schuman
Sternberg
Zinn
Questions?
Acknowledgements

Richard P. Seligman, Senior Director, Caltech
Office of Sponsored Research

Roxanne Carlisle, Grant Manager, Caltech
Division of Biology

Helen McBride, Postdoc, Caltech Division of
Biology
Contact Information

Samantha J. Westcott
Grant Manager, Division of Biology
California Institute of Technology
114 Broad Center for the Biological Sciences
x8823
[email protected]