# Presentation: 139331

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- Minority Institutions/Cancer
- Center Partnership
- Workshop
- November 20, 2003
- Barbara Fisher and Brian Martin

## TOPICS TO BE DISCUSSED

- NCI GRANTS ADMINISTRATION BRANCH
- NEW/COMPETING APPLICATIONS
- PROGRESS REPORT/NONCOMPETING POST AWARD ADMINISTRATION
- GRANT CLOSEOUT

## HANDOUTS

- SLIDE PRESENTATION
- BOOK – “Every Thing You Wanted to Know About The NCI Grants Process but Were Afraid to Ask” _[http://www3.cancer.gov/admin/gab/index.htm](http://www3.cancer.gov/admin/gab/index.htm)_

## WEBSITE

- NIH Regional Seminars on Program and Grants Administration – May & June 2004
- 	http://grants.nih.gov/grants/seminars.htm

## 
GRANTS ADMINISTRATION BRANCH (GAB)

- GRANTS ADMINISTRATION BRANCH (GAB)

- NCI GRANTS ADMINISTRATION BRANCH (GAB)
- The GAB provides support for grants and cooperative agreements.  NCI contracts are handled by the NCI Research Contracts Branch.
- The GAB consists of approximately 58 government employees and 16 contracted employees.
-     The contracted employees manage the storage of grant files, records management, and electronic imaging.
- In Fiscal Year 2003, over 11,000 total grant actions were completed (competing, continuation grants, revisions and supplements).  Within this number is approximately 7,400 initial grant actions awards

## GAB TEAM CONCEPT

- The GAB is divided into 2 teams
- 		Biology and Population Sciences Grants Section
- 		Treatment, Diagnosis and Prevention Grants
- 		Section
- The two teams are divided into 4 sections
- Each Section has approximately 8 to 10 grant specialists

## Biology and Population Sciences Grants Section

**TEAM 1**
- Earl Bowman
- Funmi Elesinmogun
- Kimery Griffin
- Kent Hevner  *
- Lan Hoang
- Joy Kearse    *
- Amy Knight  *
- Sara Maclay
- Lisa Miller
- Marie Moyer
- Dena Solomon

**TEAM 2**
- Catherine Blount
- Jennifer Edwards   *
- Priscilla Grant
- Galen Gregor
- Sean Hine               *
- Brian Iglesias
- Jennifer Nuchereno
- Teresa Parker          *
- Aida Vasquez
- Robynne Williams

## Treatment, Diagnosis and Prevention Grants Section

**TEAM 3**
- Victoria Bishton
- Rebecca Brightful   *
- Amy Connolly
- Cynthia Dwyer        *
- Barbara Fisher         *
- Connie Murphy
- Jill Rogers
- Judy Sint
- Ted Williams
- April Winegar         *

**TEAM 4**
- Karen Chuang
- Kathy Dunn              *
- Debbie Dunne
- Barbara Liesenfeld
- Emily Linde
- Brian Martin             *
- Carol Perry
- Romy Reis
- Harry Seidman
- Shane Woodward      *

## The Partnership grants belong in the Treatment, Diagnosis and Prevention Grants Section

Grants are assigned to specialists by institution.  One institution could be handled by 4 different grant specialists.  GAB is striving to assign one specialist to a partnership.

- Grants are assigned to specialists by institution.  One institution could be handled by 4 different grant specialists.  GAB is striving to assign one specialist to a partnership.

##    ROLES AND RESPONSIBILITIES

- Monitors administrative and fiscal aspects of grants and cooperative agreements
- Assures compliance with federal regulations, policies, and procedures
- Only NIH official authorized to change funding, duration and terms of award
- Issues Notice of Grant Awards
- Grants Management Specialist vs. Program Director

-    ROLES AND RESPONSIBILITIES
- OF THE
-          GRANTS MANAGEMENT SPECIALIST

## New/Competing ApplicationsType 1 

- Brian Martin
- NCI Grants Administration Branch

## Types of Minority Institution/Cancer Center Partnerships

- U56 **-- **Cooperative Planning Grant for Comprehensive Minority Institution/Cancer Center Partnership
- 	_http://grants.nih.gov/grants/guide/rfa-files/RFA-CA-03-008.html_
- U54 -- Comprehensive Minority Institution/Cancer Center Partnership
- 	_http://grants.nih.gov/grants/guide/rfa-files/RFA-CA-03-010.html_
- P20 -- Planning Grant for Minority Institution/Cancer Center Collaboration
- 	_http://grants1.nih.gov/grants/guide/rfa-files/RFA-CA-03-009.html_

## U56	

- Application for the _planning and development_ of Comprehensive Minority Institutions/Cancer Center Partnerships between Minority-Serving Institutions (MSI) and NCI-designated Cancer Centers.

## U54

- Application for the _implementation_ of Comprehensive Minority Institution/Cancer Center Partnerships between Minority-Serving Institutions (MSIs) and NCI-designated Cancer Centers in order to develop a stronger national cancer program aimed at understanding the reasons behind the significant cancer disparities and impact on minority populations.

## P20

- Application to assist researchers and faculty in Minority Serving Institutions (MSIs) in collaboration with the researchers and faculty of NCI-designated Cancer Centers  _to plan and implement_ focused collaborations in cancer research, cancer research training and career development or cancer education.

## U56 RFA Guidelines

- ALLOWABLE COSTS
- Administrative Costs – Not to exceed 20% of the total direct costs per year per partner.
- Planning and Evaluation
- Developmental Costs
- Pilot cancer research projects or pilot cancer training and career development,
- Cancer education and/or cancer outreach program – not to exceed $100,000
- in direct costs per year per project/program of the partnership for no more than
- three years.
- Resources and Infrastructure
- Start-up Packages

## U56 RFA Guidelines

- The maximum combined direct cost budget of the MSI and the Cancer Center together is $500,000.  Third party sub-contractual facilities and administration costs will not be counted toward the maximum combined direct costs of $500,000.
- The total project period will not exceed five years.

## U54 Guidelines

- ALLOWABLE COSTS
- Administrative Costs – Not to exceed 20% of the total direct costs per year per partner.
- Planning and Evaluation
- Developmental Costs
- Pilot cancer research projects or pilot cancer training and career development, cancer education and/or cancer outreach program – not to exceed $100,000 in direct costs per year per project/program of the partnership for no more than three years.

## U54 Guidelines

- ALLOWABLE COSTS(cont.)
- Up to three full projects/programs per year may be funded (not to exceed $250,000 in direct costs per year per project/program of the partnership of no longer than three years).
- Resources and Infrastructure
- Start-up Packages

## U54 Guidelines

- The maximum combined direct cost budget of the MSI and the Cancer Center together is $1.5 million.  Third party sub-contractual facilities and administration costs will not be counted toward the maximum combined direct costs of $1.5 million.
- The total project period will not exceed five years.

## P20 RFA Guidelines

- ALLOWABLE COSTS
- Administrative Costs
- Developmental Costs
- Initial Planning Stage
- Priority Setting Stage
- Implementation Stage

## P20 RFA Guidelines

- The total annual direct cost budgets for the MSI and the Cancer Center applications together are expected to range between $50,000 and $250,000 each year depending upon prior progress in planning and setting priorities.
- Third party contractual Facilities and Administrative costs will not be counted toward the maximum combined direct costs of $250,000.
- The total project period will not exceed three
- 	 years.

## PHS 398 APPLICATION

- The PHS 398 is required for all new, revised, competing continuation, and supplemental research grant, research training grant, and cooperative agreement applications.
- The PHS 398 can be found at:
- _http://grants1.nih.gov/grants/funding/phs398/phs398.html_

## PHS 398 APPLICATION

- Budgets for these partnerships should not be prepared in modular format.
- Pay particular attention to the instructions for human and animals in the PHS 398.  Be sure to address specific points.

## IMPORTANT ISSUES FOR ALL APPLICATIONS

- Review and read entire RFA.
- Prepare application following instructions in PHS 398 and Supplemental Instructions in RFA.
- Pay particular attention to “SPECIAL REQUIREMENTS” section of RFA.
- Pay particular attention to “SUPPLEMENTAL INSTRUCTIONS” section of RFA.
- WORK WITH AND CONSULT WITH THE CANCER CENTER PARTNER WHEN DEVELOPING BUDGETS, THEY HAVE THE EXPERIENCE.

## NOTICE OF GRANT AWARD(NGA)

- Request a copy of the NGA from your Sponsored Programs Office.
- Read the NGA, it contains a lot of important information
- Become familiar with the NIH Grants Policy Statement.

## NON-COMPETING GRANT PROGRESS REPORT(Type 5)Brian and Barbara

## PHS 2590 APPLICATION

- An annual application must be submitted by the grantee to continue funding after the first year of a new award.
- Annual application submitted on a PHS 2590
- In conjunction with the standard instructions of the PHS 2590, the MI/CCP supplemental application guidelines must be addressed in the application.
- 	_http://minority opportunities.nci.nih.gov/institutions/dochtmls/comprehensive.pdf_

## Application submission is due 60 days prior to the start date of the grant.  This is determined by reading the Notice of Grant Award budget period end date.  This is also published on the NIH Commons website listed at
	http://commons.era.nih.gov/commons/

Non Streamlined-Non Competing Application Process(SNAP)– MI/CCP grants require full categorical budgets with justification. 

Use Section B. under PREPARING YOUR PROGRESS REPORT, B. SPECIFIC INSTRUCTIONS, section 2. Detailed Budget for Next Budget Period.

- 	_[http://commons.era.nih.gov/commons/](http://commons.era.nih.gov/commons/)_
- Non Streamlined-Non Competing Application Process(SNAP)– MI/CCP grants require full categorical budgets with justification.
- Use Section B. under PREPARING YOUR PROGRESS REPORT, B. SPECIFIC INSTRUCTIONS, section 2. Detailed Budget for Next Budget Period.

**PHS 2590 APPLICATION**

## The Notice of Grant Award includes the total cost award level for each year.  This level is established at the time of the competing year and will usually remain constant for the project period.

Provide justification for the line items and amounts that represent a significant change from that previously recommended.

- Provide justification for the line items and amounts that represent a significant change from that previously recommended.

**PHS 2590 APPLICATION**

## Page 3 under CURRENT BUDGET PERIOD, state the estimated total costs remaining in the grant that are greater than 25% of the current year’s (last funded year) total authorization. (if applicable) 

If greater than 25%, explain why there is the significant balance and how it will be spent if carried forward into the next budget period.

If the PI intends to carryover unobligated funds, an official request must be submitted by the grantee authorized business official, to the grants management specialist noted on the last Notice of Grant Award. 

- If greater than 25%, explain why there is the significant balance and how it will be spent if carried forward into the next budget period.
- If the PI intends to carryover unobligated funds, an official request must be submitted by the grantee authorized business official, to the grants management specialist noted on the last Notice of Grant Award.

**PHS 2590 APPLICATION**

## Other Support – required only for active support of all key personnel.

Progress Report Summary

Enrollment Table – only if conducting clinical research.

Checklist

- Progress Report Summary
- Enrollment Table – only if conducting clinical research.
- Checklist

**PHS 2590 APPLICATION**

## 

EXPANDED AUTHORITIES

- EXPANDED AUTHORITIES

## 
NIH Grants Policy Statement (Rev. 03/01), Administrative Requirements Section

Applies to all grants and cooperative agreement awards issued after 10/01/2001
    http://grants2.nih.gov/grants/guide/guide/notice-files/NOT-OD-01-070.HTML

No rebudgeting of funds between the Partnership grants after the awards are issued.

NIH Prior approval requirements listed below from the NIH Grants Policy Statement.

- NIH Grants Policy Statement (Rev. 03/01), Administrative Requirements Section
- Applies to all grants and cooperative agreement awards issued after 10/01/2001
-     _http://grants2.nih.gov/grants/guide/guide/notice-files/NOT-OD-01-070.HTML_
- No rebudgeting of funds between the Partnership grants after the awards are issued.
- NIH Prior approval requirements listed below from the NIH Grants Policy Statement.

## TABLE II-2SUMMARY OF ACTIONS REQUIRING NIH PRIOR APPROVAL(Note: The following table has been revised in accordance with the 03/20/2001 NIH Guide Notice)

| 
Activity or Expenditure Requiring NIH Prior Approval | Expanded Authorities[16](effective 12/94) | Federal DemonstrationPartnership (FDP)[17](effective 7/00) | NIH Grants Policy Statement (NIHGPS)(effective 3/01)  |
| --- | --- | --- | --- |
| Change in scope | YES | YES | YES |
| Preaward costs (more than 90 days prior to effective date of a new or competing continuation award) | YES | YES | YES |
| Preaward costs for noncompeting awards | At grantee's own risk | At grantee's own risk | At grantee's own risk |
| Change in key personnel | YES | YES | YES |

## Slide 37

| 
Activity or Expenditure Requiring NIH Prior Approval | Expanded Authorities[16](effective 12/94) | Federal DemonstrationPartnership (FDP)[17](effective 7/00) | NIH Grants Policy Statement (NIHGPS)(effective 3/01)  |
| --- | --- | --- | --- |
| Change of grantee organization | YES | YES | YES |
| Change in grantee organizational status | YES | YES | YES |
| Addition of a foreign component under a grant to a domestic organization | YES | YES | YES |
| Changes to award terms and conditions or undertaking any activities disapproved or restricted as a term of award | YES | YES | YES |
| Carryover of unobligated balances from one budget period to the next | NO | NO | YES |

## Slide 38

| 
Activity or Expenditure Requiring NIH Prior Approval | Expanded Authorities[16](effective 12/94) | Federal DemonstrationPartnership (FDP)[17](effective 7/00) | NIH Grants Policy Statement (NIHGPS)(effective 3/01)  |
| --- | --- | --- | --- |
| Extension of final budget period of a project period | NO: one extension up to 12 months allowed with no additional funds. Must notify IC no later than 10 days prior to expiration. | NO: one extension up to 12 months allowed with no additional funds. Must notify IC no later than 10 days prior to expiration. | YES |
| Equipment purchases exceeding $25,000/unit, regardless of amount of NIH funds involved | NO, unless change in scope | NO, unless change in scope | YES |
| Retention of research grant funds when career (K) award made | YES | YES | YES |
| Alteration and renovation (A&R) (rebudgeting into A&R costs exceeding 25 percent of total approved budget for a budget period) | NO, up to (and including) $300,000YES, if>$300,000 | NO, up to (and including) $300,000YES, if>$300,000 | NO, up to (and including) $300,000YES, if>$300,000 |

## Slide 39

| 
Activity or Expenditure Requiring NIH Prior Approval | Expanded Authorities[16](effective 12/94) | Federal DemonstrationPartnership (FDP)[17](effective 7/00) | NIH Grants Policy Statement (NIHGPS)(effective 3/01)  |
| --- | --- | --- | --- |
| Transferring amounts from trainee costs | YES | YES | YES |
| Capital expenditures (construction, land or building acquisition) | YES | YES | YES |
| Need for additional NIH funding | YES | YES | YES |
| Closely related work | YES | YES | YES |
| Transfer of funds between construction and non-construction work | YES | YES | YES |

## Slide 40

| 
Activity or Expenditure Requiring NIH Prior Approval | Expanded Authorities[16](effective 12/94) | Federal DemonstrationPartnership (FDP)[17](effective 7/00) | NIH Grants Policy Statement (NIHGPS)(effective 3/01)  |
| --- | --- | --- | --- |
| Program income (use of any alternative other than that specified by NIH) | NO | NO | YES |
| Transferring performance of substantive programmatic work to a third party (by consortium agreement, contract, or other means) | NO, unless change in scope or the third party is a foreign organization or component | NO, unless change in scope or the third party is a foreign organization or component | YES |
| Incurrence of patient care costs (if not previously approved or rebudgeting additional funds into or rebudgeting funds out of this category) | NO, unless change in scope  | NO, unless change in scope | YES |

## REBUDGETING – between partnership grants, unique procedure prior to submission of Type 5 application.

FINANCIAL STATUS REPORT (FSR)
		Submitted on PHS 269 form

		90 days after expiration date of the budget 	period end date

- FINANCIAL STATUS REPORT (FSR)
- 		Submitted on PHS 269 form
- 		90 days after expiration date of the budget 	period end date

## CARRYOVER

- CARRYOVER –After FSR is submitted and accepted by NIH.  The carryover request should be submitted on Institutional letterhead that includes
- 			Scientific justification
- 			Categorical budget and justification
- 			for intended use of these funds
- Carryover funds may not be rebudgeted between Partnership grants.

## FINAL REPORTING REQUIREMENTS

## When a grantee accepts an award, the grantee also accepts responsibility for monitoring and reporting requirements.

The PI and grantee organization is responsible for the submission of the
		1.  Final Progress Report – institutional letterhead
		2.  Final Invention Statement
               http://grants.nih.gov/grants/hhs568.pdf
		3.  Final Financial Status Report
               www.whitehouse.gov/omb.grants/sf269.pdf

- The PI and grantee organization is responsible for the submission of the
- 		1.  Final Progress Report – institutional letterhead
- 		2.  Final Invention Statement
-                _http://grants.nih.gov/grants/hhs568.pdf_
- 		3.  Final Financial Status Report
-                _www.whitehouse.gov/omb.grants/sf269.pdf_

## Final Reports are required 90 days after the expiration of the project period.

Delinquency in providing this information in a timely manner could jeopardize future funding of the PI and the grantee organization.

NIH Grants Policy Statement – Administrative Requirements, Closeout

- Delinquency in providing this information in a timely manner could jeopardize future funding of the PI and the grantee organization.
- NIH Grants Policy Statement – Administrative Requirements, Closeout

## HELPFUL WEB SITES

- NIH Office Of Extramural Research
- 		_http://grants.nih.gov/grants/oer.htm_
- NIH Grants Policy Statement
- 		http://grants1.nih.gov/grants/policy/nihgps_2001
- PHS 2590 Application
- 		http://grants.nih.gov/grants/funding/2590/2590.htm

## HELPFUL WEB SITES

- _Financial Status Report(FSR)_
- 	_www.whitehouse.gov/omb/grants/sf269.pdf_
- NEW GRANTEE    _http://grants1.nih.gov/grants/funding/welcomewagon.htm_

## THE

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