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NIH Grants and the Role of the Grant Manager at Caltech Samantha J. Westcott Grant Manager Division of Biology May 19, 2003.

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Presentation on theme: "NIH Grants and the Role of the Grant Manager at Caltech Samantha J. Westcott Grant Manager Division of Biology May 19, 2003."— Presentation transcript:

1 NIH Grants and the Role of the Grant Manager at Caltech Samantha J. Westcott Grant Manager Division of Biology May 19, 2003

2 Refresher of NIH Grant Overview  Grant Definition  Characteristics  Grant Award Types: Award Mechanisms

3 Definition of a Grant  A financial assistance mechanism providing support – most often monetary – to an eligible entity to carry out an approved activity.

4 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

5 Award Mechanisms at the NIH  Research Projects  Career Programs  Fellowship Programs  Training Programs  Other

6 How exactly is this done at Caltech?

7 Institute Proposal Documents  Division Approval Form (DAF) Routing and Data Sheet Needed for All New Proposals through Sponsored Research  Faculty Support Memorandum References Chapters 4 and 7 of the Faculty Handbook  All Sponsor-required Documents

8 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

9 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 Co- P.I.

10 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

11 Budget Creation Process  Budget Items Personnel: Salary and Fringe Benefits Consultants Equipment Travel Supplies Other Direct Costs Consortium/Contractual: Subcontracts

12 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

13 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

14 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

15 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

16 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

17 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

18 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

19 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

20 Indirect Costs  Terms: Facilities and Administrative (F&A) Overhead Indirect  ALL mean the same thing!

21 Calculating Indirect Costs: Federal MTDC x IDC rate = Indirect Costs  Modified Total Direct Costs (MTDC) Direct Costs minus exclusions Direct Costs minus exclusions Exclusions Exclusions  Equipment > $5,000 and lifespan > 2 years  Subcontracts after first $25,000 for each site  Tuition Remission

22 Sample IDC Calculation  Budget: Personnel$25,000 Consultants$ 5,000 Equipment$10,000 Travel$ 3,000 Supplies$10,000 Other Direct$ 2,000 Subcontract(1)$45,000 Total $100,000  Total Direct Costs: $100,000  Exclusions: Equipment$10,000 Subcontract$20,000 Total $30,000  MTDC: TDC – Exclusions = $70,000

23 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

24 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

25 The Role of the Grant Manager Samantha J. Westcott Grant Manager Division of Biology May 19, 2003

26 Proposal Development at Caltech P.I. Finalizes & routes proposal Divisional Review & approval Caltech Review, approval & submission P.I. creates proposal idea & plan Grant Managers support entire process

27 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

28 Division of Biology Grant Manager  Responsibilities: Constituency of faculty and non-faculty researchers Oversee all aspects of fiscal management  Proposal preparation and submission (Pre-award)  Financial and administrative oversight (Post-award) Support all funds  Sponsored Research  Gift  Endowment Oversee fiscal management of facilities

29 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

30 Grant Manager Resources: Pre-Award  Samples and instructions Forms Proposals  Budget Preparation  Sponsor Information  General Questions and Answer Support

31 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

32 Grant Manager Resources: Post-Award  Sponsor Information  General Questions and Answer Support  Spending Decisions  Strategic Planning  Guidance for following Terms and Conditions

33 Grant Manager Limitations  Workload driven by faculty & deadlines we do not control  Broad spectrum of responsibilities  NOT researchers  NOT scientists

34 Fiscal Management: Strategies  Follow spending on at least a monthly basis  Develop a means to project for future spending  Know the sponsor guidelines for carry- forward of either deficit or balance  Monitor the end date and project for any needed extension

35 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

36 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

37 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

38 NIH Submission and Review Dates STANDARD RECEIPT DATES AND REVIEW AND AWARD CYCLES TYPES OF APPLICATIONS CYCLE ICYCLE IICYCLE III Application Receipt Dates * All (new, competing, revised, and supplemental) Program Project and Center GrantsFebruary 1June 1October 1 Competing Continuation, Supplemental, and Revised GrantsMarch 1July 1November 1 Individual NRSA (Standard) ***April 5August 5December 5 Review and Award Schedule Scientific Merit ReviewJune-JulyOctober-NovemberFebruary-March Advisory Council ReviewSeptember-OctoberJanuary-FebruaryMay-June Earliest Project Start DateDecemberAprilJuly

39 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

40 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

41 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

42 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

43 Transferring: Funding  Notify Grant Manager  Notify Program Official  Develop a timeline  Considerations: Relinquishment vs. subcontract Equipment transfer Close-out Application from new institution

44 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

45 Biology Grant Manager Constituency Carol IrwinRoxanne CarlisleCsilla CsoriSamantha Westcott AttardiBronner-FraserAlberola-IlaAllman BenzerFraserBaltimoreAndersen DeshaiesLaurentDavidsonAnderson HayShimojoDunphyBjorkman KochSiapasKennedyChan LewisLesterElowitz MeyerowitzSimonJensen RevelVashavskyKonishi RothenbergMayo StraussPatterson WoldSchuman Sternberg Zinn

46 Questions?

47

48 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

49 Contact Information  Samantha J. Westcott Grant Manager, Division of Biology California Institute of Technology 114 Broad Center for the Biological Sciences x8823 westcott@caltech.edu


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