NIH Grants and the Role of the Grant Manager at Caltech

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. 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 Research Projects

9. 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. Career Programs

10. 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 Fellowship Programs

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

12. 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 Personnel Costs: Salary + Benefits

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 • Exclusions • Equipment > $5,000 and lifespan > 2 years • Subcontracts after first $25,000 for each site • Tuition Remission

22. 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 Sample IDC Calculation

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 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 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

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

46. Questions?

47. Thank you.

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