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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
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)
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
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 Co-
P.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: FederalMTDC x IDC rate = Indirect Costs
Modified Total Direct Costs (MTDC)Modified Total Direct Costs (MTDC) Direct Costs minus exclusionsDirect Costs minus exclusions ExclusionsExclusions
Equipment > $5,000 and lifespan > 2 yearsEquipment > $5,000 and lifespan > 2 years Subcontracts after first $25,000 for each siteSubcontracts after first $25,000 for each site Tuition RemissionTuition Remission
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 $20,000Total
$30,000 MTDC:
TDC – Exclusions = $70,000
Indirect Cost CalculationMTDC x IDC rate = Indirect Costs
MTDC = $70,000
IDC Rate = 62% (currently)
$70,000 x 62% = $43,400
Indirect Costs = $43,400
Total Cost CalculationTotal 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 ManagerSamantha J. Westcott
Grant Manager
Division of Biology
May 19, 2003
Proposal Development at Caltech
P.I.Finalizes &
routesproposal
Caltech Review, approval
& submission
P.I. creates
proposal idea& plan
DivisionalReview & 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
Proposal preparation and submission (Pre-award) Financial and administrative oversight (Post-award)
Support all funds 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 carry-
forward 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 ANDREVIEW AND AWARD CYCLES
TYPES OF APPLICATIONSCYCLE 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 ScheduleScientific 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 ConstituencyCarol 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