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

westcott@caltech.edu