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Division of Pulmonary, Allergy &

Critical Care Medicine

COLUMBIA UNIVERSITY
College of Physicians and Surgeons
Division of Pulmonary, Allergy and Critical Care Medicine
Department of Medicine

 

CONTENTS

GRANTS AND CONTRACTS 101: A Reference Guide for Pulmonary Division Researchers

 

Last updated on November 28, 2006

 

Dear Pulmonary Division Researchers:

 

This Grants and Contracts 101 page has been created to supplement and summarize existing Columbia University research resources and information in effort to clarify the grant application and submission process, assist in budget preparation, provide information on funding opportunities, and post announcements and policy changes.

 

Please contact your grants manager for further assistance with any and all matters related to grants, consortiums, contract negotiations, agreements (i.e. MTA’s) as well as information regarding Columbia University and sponsor agency policy and guidelines. 

 

 

 

Announcements-  “NIH Electronic submissions”  and “NIH revised forms”

Useful Links

 

Useful Forms

Useful CU Contacts (Administrative Officials and Signatories)

Types of Grants and Sponsored Projects

Grant Preparation and Submission Process

Budget Preparation   and   Excel Budget Template (revised 11/20/06)

Funding Opportunities

 

Useful Links:

 

Columbia University Links:

 

 

§    CU Research Administration – MEDICAL CENTER

§    CUMC Institutional Review Board

§    CUMC IACUC Office

§    CUMC Office of Clinical Trials

§    CU Rascal System

§    CU- InfoEd TRAINING Site

§    USING eSNAP at CU, a tutorial

 

§    ****CU- Institutional Information for Applications

§    CU- Application Preparation Forms and Tools

§    Research Administration Glossary

§    CU Training (i.e. NIH paylines and NIH scoring system explained)

 

§    CUBHIS (Columbia University Biomedical and Health Information Services)

§    CU SOFTWARE AVAILABLE (some software available for free download, i.e. ENDNOTE)

§    CU Statistical Consulting Services Available

 

§    ABOUT CUMC

§    Administrative Policy Library

 

 

 

 

 National Institutes of Health Links:

 

§    NIH.gov - Office of Extramural Affairs

 

§    NIH Types of Grant Programs (Mechanisms)

§    NIH Request for Applications (RFA’s)

 

§    NIH Forms

§    NIH Grant Review Process Video

§    NIH’s Scoring System explained

 

§    NIH Regional Seminars on Program Funding and Grants Administration

§    National Heart, Lung, and Blood Institute - Model K08 Application

§    National Heart, Lung, and Blood Institute - K23 Model Applications

§    NIH-Grant Writing Tips Sheets

 

§    NIH Issued Notice of Grant Awards (NGA’s)  IPF#1833205

§    NIH Award Data - Trends

§    NIH Extramural Awards By State and Foreign Site

 

§    NIH eRA Commons

§    NIH PROGRESS REPORT Listed by due date  IPF#1833205

 

 

Other Links:

 

§    RAMS- Proposal Central

§    InfoEd– Scheduled to go live Oct 1st,2006

§    Grants.gov

§    “The elements of Style” by William Strunk, Jr.

 

§    CRISP Awards Computer Retrieval of Information on Scientific Projects

 

 

Useful Forms:

 

 

Institutional Tobacco Disclosure Statement Appendix (i.e., for FAMRI)

 

CU Face page w/ institutional signature required (use this when none are provided by the agency)

 

 

Many more...Forms

 

 

ANNOUNCEMENTS:

 

This just in....

 

via the AAMC:

 

"The Washington Post reported on Wednesday that Northrup Grumman has lost the contract to develop and manage grants.gov, the government-wide grant application IT platform. The contract has been awarded to General Dynamic Information Technology, which "will create a new system by March 31..."  The contract changes hands on November 1.  The Post article notes that the change puts into question the ability of the system to correct a major impediment - its inability to seamlessly manage Mac-generated applications.  The change is also calling into question NIH's February 1, 2007 deadline for the electronic submission of all R01 applications.  The article reports the NIH is considering whether to push back the deadline."

<http://tinyurl.com/jx2ku>

 

 

 

NIH ELECTRONIC SUBMISSIONS:

 

For details on how to apply electronically, refer to http://era.nih.gov/ElectronicReceipt/process.htm

 

A word on the NIH’s current transition from Paper to On-line submissions.  The NIH is gradually requiring certain grant types at a time to be submitted electronically through grants.gov.  As per the Electronic Submission Timeline (NIH’s planned timeline for transitioning all competing grant programs/mechanisms by September 2007), R03’s and R21’s for example are currently ONLY ACCEPTED ELECTRONICALLY.  R01’s are slated to go electronically by Feb. 2007. And K awards will be submitted electronically by June 2007.  These dates may change as technical adjustments are made but we should be prepared.

 

Grants.gov submissions require the download of the PURE EDGE software (not yet available for MAC’s).  This software allows you to create a file that is saved off-line (on your hard-drive) to which you would upload pieces of your application and complete form questions as directed.  This file would be submitted via e-mail attachment to your project officer for approval and final submission.  Always “validate” any electronic proposal whenever possible before submitting.

 

ALTERNATIVELY, the university is planning to establish the InfoEd system, slated to go live by 2006!  This program, once in place, will become our university wide, Research Administration System and will not only replace the grants and contracts module of Rascal, but will also help us put together all grants (both Private and Government), help us create a budget, and will submit NIH grants to grants.gov for us.  If you wish to preview a beta copy of the system to get your feet wet, goto:  CU- InfoEd TRAINING Site.  PLEASE KEEP IN MIND THIS IS A BETA VERSION.  For those of you familiar with the Rams proposal central system for non-gov applications, it is very similar.

 

 

NIH NEW Forms:

 

For those NIH grant types/mechanisms still being accepted as PAPER SUBMISSIONS, I have gathered the required forms for you here below (rev 04/06): 

 

 

PHS398 INSTRUCTIONS

 

PHS 398 combined forms.doc

  PHS 398 Face and Budget Pages (with automatic calculations embedded)

PHS 398 Bio sketch.doc

PHS 398 Continuation form.doc (for scientific section)

 

 

For JIT requests: PHS 398 Other Support.doc

 

For Progress Reports via mail:   PHS 2590 Instructions;     PHS2590 combined forms.doc

 

For Progress Reports via eRA common, use a continuation form for the Science.  ALL other necessary information is entered directly on the on-line forms.  See also USING eSNAP at CU, a tutorial.

 

 

For those of you pro’s familiar with the previous NIH application forms, I’ve summarized here the major changes to be aware of that you will find on the new PHS 398 forms effective May 1st 2006.  Notable changes include:

 

 

1.      Ability to identify multiple PI’s

2.      the change from % effort to months (conversion calculator)

3.      some changes in terminology:

 

“Competing Continuation” is now termed “Renewal”

“Revision” or “Amendment” is now termed “Resubmission”

“Competing Supplement” is now termed “Revision”

 

4.    and the addition of section G. which is now called “Select Agent Research”.  Here is the list of Select Agents and Toxins. You would simply identify and detail your uses of any of these agents as per page 39 & 40 of the instructions (also below), otherwise, simply write:    

 

G. Select Agent Research:   N/A

or  

[item X] currently excluded as per HHS 42 CFR 73.4(f)(5)

or

application pending for exclusion of [item X] from HHS 42 CFR 73.4(f)(5).

 

 

G.  Select Agent Research

Select Agents are hazardous biological agents and toxins that have been identified by HHS or USDA as having the potential to pose a severe threat to public health and safety, to animal and plant health, or to animal and plant products.  CDC maintains a list of these agents.  See http://www.cdc.gov/od/sap/docs/salist/pdf

Create a section heading entitled “Select Agent Research” and place it immediately following the Vertebrate Animal section (Section F) of the application.

If the activities proposed in your application involve only the use of a strain(s) of Select Agents which has been excluded from the list of select agents and toxins as per 42 CFR 73.4(f)(5), the Select Agent requirements do not apply. Use Section G to identify the strain(s) of the Select Agent that will be used and note that it has been excluded from this list. The CDC maintains a list of exclusions at http://www.cdc.gov/od/sap/sap/exclusion.htm.

If the strain(s) is not currently excluded from the list of select agents and toxins but you have applied or intend to apply to HHS for an exclusion from the list, use Section G to indicate the status of your request or your intent to apply for an exclusion and provide a brief justification for the exclusion.

If any of the activities proposed in your application involve the use of Select Agents at any time during the proposed project period, either at the applicant organization or at any other performance site, address the following three points for each site at which Select Agent research will take place. Although no specific page limitation applies to this section, be succinct.

1.  Identify the Select Agent(s) to be used in the proposed research.

2.  Provide the registration status of all entities* where Select Agent(s) will be used. 

·          If the performance site(s) is a foreign institution, provide the name(s) of the country or countries where Select Agent research will be performed.

*An “entity” is defined in 42 CFR 73.1 as “any government agency (Federal, State, or local), academic institution, corporation, company, partnership, society, association, firm, sole proprietorship, or other legal entity.”

3.  Provide a description of all facilities where the Select Agent(s) will be used.

·          Describe the procedures that will be used to monitor possession, use and transfer of Select Agent(s).

·          Describe plans for appropriate biosafety, biocontainment, and security of the Select Agent(s).

If you are responding to a specific funding opportunity announcement (e.g., PA or RFA), address any requirements specified by the solicitation.

Reviewers will assess the information provided in this Section, and any questions associated with Select Agent research will need to be addressed prior to award.

 

 

 

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Types of Sponsored Projects:

 

I. GRANTS

a.        Research

b.        Training

1.        Individual Fellowships,

2.        Training Grants,

3.        Career Development Awards

c.        Service

d.        Other

II. CONTRACTS AND AGREEMENTS

(i.e. MTA’s)

 

III. RESEARCH SUBCONTRACTS/ CONSORTIUM AGREEMENTS

Terms between PI and 2nd cooperating institution.

 

IV. SERVICE CONTRACTS

 

V.  COOPERATIVE AGREEMENTS  

(i.e. Multi-center, Clinical Trials funded by Federal Government only.)

 

 

To determine if a sponsored project is a clinical trial, refer to the definition of a clinical trial.

 

Types of Grant Applications:

 

I. NEW APPLICATIONS PA’s compete with general pool of applicants w/special consideration.

a.  Grant or Cooperative Agreement

b.  Response to Special Announcement: RFA-grants (Request for Application) or PA (ongoing Program Announcement)

c.  Unsolicited Contract

d.  Response to Special Announcement: RFP-contracts (Request for Proposal)

 

II. COMPETING CONTINUATION (RENEWAL)

Application to obtain funds to continue a project beyond the currently funded project period. Competes with general pool of applicants.

 

III. RESUBMISSION/AMMENDED APPLICATIONS

Modified resubmissions for previously denied Grants or Renewals. For Renewal resubmissions, a request can be made for no-cost extensions or funded extensions to allow PI time to resubmit Renewal.

 

IV. NON-COMPETING CONTINUATION

Funding agency is committed or “obligated” to support the project for several years but awarded its funds on a yearly basis through a non-competing continuation application or renewal.

 

V.  SUPPLEMENTAL APPLICATIONS

Request for an increase in support for the expansion of a project or meet unforeseen costs.

 

VI. EXTENSION/NO FUND EXTENSIONS

Request to fund the research for an additional period. Under the Federal Demonstration Project, a one-time no-fund extension up to 12 months can be approved by the Office of Grants and Contracts without approval of the funding agency—only for Federal Grants.

 

VII. TRANSFER of  Sponsored Project to the HEALTH SCIENCES

Allows a new PI to bring their on-going sponsored projects to the institution. Requires relinquishment form or letter from the original awarded institution and acceptance of the grant from Columbia University.

 

--Excerpts from CU Grants and Contracts Manual of Policy and Procedures, 1998

 

 

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Useful CU Contacts:

 

 

1.      General Research Grants (non-clinical trials)               

 

Signing Official

Cheryl Mapou, Senior Project Officer

Office of Research Administration

 

 

2. General Research MTA’s, Contracts/Agreements

           

Reviewer

Victoria Malia, J.D., Assoc Director

Office of Science and Technology Ventures (STV)

 

Signing Official

Ofra Weinberger, Director

Office of Science and Technology Ventures (STV)

 

 

3. Clinical Trials Government Grants  

 

Reviewers

Sharon Levine, Project Officer

Clinical Trials Office

 

Signing Official

Daniel Calto, Director of Research Administration

Office of Research Administration

 

 

4. Clinical Trial Contracts/Agreements

           

Reviewer/Negotiations

Darnell Benjamin, J.D., Mgr Fin-Clin Trials

Clinical Trials Office

 

Signing Official

Daniel Calto, Director of Research Administration

Office of Research Administration

 

 

5. Service Agreements (ie. outsourcing of laboratory testing)

 

Contact the Purchasing Department

 

 

6. For Strategy and General Council, especially for large scale grants, please consult with:

 

Jamie Rubin, Ph.D.

Director of Research Development, Department of Medicine

Assistant Professor of Clinical Medicine, Radiation Oncology

 

Grant Preparation and Submission Process:

 

 

The 10 Step Process

 

 

The review process policy requires 10 working days to review your grant application. There are a large number of applications flowing through the business office daily. The ten day requirement allows us to review your application properly for compliance and other administrative issues, and allows for time needed to resolve any potential problems. Ideally, PI’s should contact their divisional grants administrator 3 weeks before each deadline. Clinical Trials and Program Project Grants (PPG’s) require more time as they are more cumbersome.

 

 

 

 

 

1.         PI’s must forward any links, RFA’s or grant details. If not, simply describe the type, amount and length of award for which you wish to apply and identify the sponsoring agency and deadline.

 

2.         PI’s must forward a list of all individuals to be named on the grant, including % effort (multiply by 12 to get the # of calendar months for the new NIH forms), roles, and their department/division if non-pulmonary.  If any individuals outside of CU are to be included, a consortium subcontract proposal may be required. A CU subcontract Proposal Face Sheet will be required by CU for each subcontract in addition to the agency requested forms. Your grants manager will need contact information of participants outside of CU. Getting materials from other institutions can be a lengthy process and should be addressed early on.  All CU personnel named on a grant must have a current Conflict of Interest (COI) statement. All personnel working with human subjects or patient medical information must complete a one time Health Insurance Portability and Accountability Act (HIPAA) Certification.  All Key Personnel involved in human subjects research must additionally have Good Clinical Practice (GCP) certification. All three certifications are completed in RASCAL.  The GCP course is also available online.

 

3.         If animals or human subjects are involved, IACUC and/or IRB approval must be obtained by the PI.  Even if pending, please provide IRB or IACUC numbers.  Please check directly with the Institutional Animal Care and Use Committee (IACUC) and the CUMC Institutional Review Board (IRB) for procedures to obtain approval and an estimated time for approval. 

 

4.         A “Contracts & Grants” RASCAL IS CREATED: This is an institutional cover sheet designed, in part, as a checklist of vital information for an upcoming grant submission. It also serves as a kind of internal alert to CU officials that a proposal is on it’s way. I will notify you when it’s time to FINALIZE the RASCAL.  Once RASCAL is finalized, no changes can be made to the RASCAL. The RASCAL should be finalized and approver’s must approve before the grant can be signed by the institutional official.  (Soon this will be replaced by the Info Ed grants administration system).

 

5.         A BUDGET IS PREPARED:  While a section to assist you with budget preparation can be found below, you need only meet with your grants manager to help you with this process and apply all the rules as necessary. An excel template has also been provided for you convenience using the latest NIH forms.

 

6.         ADDITIONAL INFORMATION IS GATHERED BY YOUR GRANTS ADMINSTRATOR: Bio’s for all key personnel are requested and collected as well as the names of all Department Administrators of those PI’s not in this department. In some cases, letters of support and “other support” form pages are also requested.

 

7.         ADDITIONAL MATERIALS TO BE PROVIDED BY THE PI: Title, Abstract/Summary, Bio, Resource page, Science Section (even in draft form), and other materials as requested. For NIH grants, the new NIH forms (rev. 04/06) are mandatory, as of June 1, 2006. For non NIH grants, use forms provided by sponsoring agency. If no forms are provided, you may use NIH PHS398 forms as templates.

 

8.         REVIEW:

Basic grant: A draft will be reviewed by Cheryl Mapou, Grants and Contracts, for institutional signature.  The draft for signature must include: final budget and budget Justification; abstract, key personnel list and face page; draft science and bio’s; and a printed copy of the grant guidelines if an RFA (Request for Applications).  You may consult with Cheryl as you gather your materials.

 

Clinical Trial: Reviewed/Approved by Sharon Levine, Project Officer, Clinical Trails Office, and final draft submitted to Daniel Calto, Office of Research Administration, for institutional signature.

 

9.         SIGN: Approvals and institutional signatures are obtained (see below for details).  The PI must sign before submitting for institutional signature.  Blue ink is advised so as not to misplace original signatures. The signed face page and the final application is collated, copied and Fed Ex’d.  PI’s are welcome to participate in this process and celebrate the completion of a job well done!

 

10.   SEND: PI’s will be notified when the application has been sent. Electronic versions of application materials, hard copy of the completed application, and Fed Ex Tracking Numbers are provided to PI’s upon request.  Any Notices of Grant Awards (NGA’s) will go to the Office of Research Administration who will notify us of the grant award and create an SPBA (Sponsored Project Budget Authorization- Account).  Recent NIH awards are posted on eRA; to search for Columbia University Health Sciences, type in our IPF#: 1833205.

 

 

 

REQUIRED APPROVALS

 

I.  PH Hospital Units- All involved administrative unit/department heads must sign internal cover sheets (Rascal grants module). Involved resources include: space, labs, pharmacies, equipment, and/or personnel.

 

II.    a) Office of Research Administration, Cheryl Mapou, Project Officer must approve all non-clinical trial proposals and contracts.  May submit a signed letter as to pending signatures to OGC; they accept e-mail or fax approvals, letter or sign-off on Internal cover sheet; may send duplicate covers for simultaneous signatures:

                                    —OR—

       b) Medical Center Clinical Trials Office, PH 15 Center, Sharon Levine, must approve all clinical trial proposals.

 

 

OTHER APPROVALS AS NEEDED

 

III. Consortium Agreements with non-affiliated institutions require documents necessary to develop a consortium arrangement. An authorized representative is required to submit a letter stating willingness to participate in project and enter into a consortium agreement. Should include approved budget and proposed role unless included in proposal.

 

IV. Establishment of New Institutes, Centers or Programs—Must be approved by the Dean/Vice President and Provost and may require University Senate and authorization of Trustees. Contact the Office of the VP for Health Sciences.

 

V. Additional Facilities, Renovations, and Space—require sign-off on Internal Cover Sheet by Dean/Chairman/Director or administrator indicating approval of facilities statement.

     a. Rental of non-university space approved by Deputy VP for Finance and Budget.

     b. New Construction require approval, feasibility study and price quotation from Health Sciences Facilities Management office and may require additional approvals from the Space Policy Committee, the University Budget Committee and the Trustees.

 

VI. Special Liabilities or Insurance—Must be approved by the Director of Risk Management.  Potential liability risk to PH may require approval of the PH President.

 

VII. New Use of Health Sciences Central ComputersAdministrator or Director of appropriate computer center and any involved Administrator or Director.

 

VIII. Major Library Acquisitions—Approvals required from the Assistant VP and Associate Dean for Scholarly Resources.

 

IX. Human Subjects—Approval required from the Institutional Review Board (IRB), x5-5883, in compliance with Federal Regulations (45CFR46). Protocols require departmental and institutional approvals for a period of one year.  PI’s must pass the “Human Subjects in Research” certification exam.  Original GCP Certofocation Memo.

 

X. Vertebrate Animals—Approval required from the Institutional Animal Care and Use Committee (IACUC), 5-2404, in compliance with Health Sciences and Public Health Service (PHS) Policy. All personnel listed on the protocol must complete certification on humane care and use of laboratory animals.  All animals are ordered from the Institute of Comparative Medicine.

 

XI. Recombinant DNA or RNA— Approval required from the Institutional Recombinant DNA Biosafety Committee (IBC), 212-795-3067.  Five year approval registration document “Memorandum of Understanding” to be sent to OGC.

 

XII. Radioactive Material— Approval required from the Joint Radiation Safety Committee of Columbia-Presbyterian Medical Center (JRSC), 212-305-5660.  All radioactive material must be ordered through Radiation Safety, 212-305-0304.

 

XIII. Hazardous Materials—The Environmental Health and Safety Office (EHS) provides info. and assistance, 212-795-3067.

 

XIV. Service to the Community—Projects which provide health or medical services to the public or CU community requires approval from the Office of the Deputy Vice President for External Relations and may require approval of the President of Presbyterian Hospital.

 

XV. Irving Center for Clinical Research—use of the center requires sign-off of the Director on Internal Cover Sheet.

 

XVI. Cancer Related—use of Herbert Irving Cancer Center’s Core Facilities require sign-off of the Director of Administration of the center.  Requires answers to certain questions on the Internal Cover sheet.

 

--Excerpts from CU Grants and Contracts Manual of Policy and Procedures, 1998

 

 

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Budget Preparation:

 

 

 

 

Your grants manager will work closely with you to complete a budget. Simply contact them 3 weeks before the deadline to begin a draft.  To draft your own budget, please reference the following information.  Download the  Excel Budget Template (revised 11/20/06) for assistance as well. Detailed budgets are necessary for CU internal review even if they are not submitted to the sponsoring agency (i.e. NIH Modular grants).

 

 

 

 

NIH MODULAR BUDGET

 

Applications will request direct costs in $25,000 modules, upto a total direct costs request of $250,000 per year for all unsolicited new, revised, and competing continuation grants and competing supplements, as well as applications responding to RFAs for these mechanisms:

 

R01—Competing individual research project grants

R03—small grants

R15—Academic Research Enhancement Awards         

R21—exploratory/developmental grants

R41—Small Business Technology Transfer grants, Phase I

R43—Small Business Innovation Research grants, Phase I

 

Detailed categorical budget info will not be submitted with the application; budget form pages of the application kits will not be used.  Additional narrative budget justification will be required only if there is a variation in the number of modules requested from a previous year. Applicants should consider the direct cost of the entire project period in determining the total for each budget year.

 

 

 

DETAILED BUDGET

 

Salaries (Base + A1)

To be confirmed by the appropriate Divisional/Departmental Administrator of each individual outside of the Pulmonary Division. Salaries used in year one should reflect the salary effective on the project start date whenever possible. Inflation rate should be calculated at 3% for each consecutive year (except on the salary cap).  All CU personnel receiving salary must be included in the detailed budget page and justification.

 

 

For the most up to date information on CU rates, please consult the CU- Institutional Information for Applications Page.

 

Current CU fringe benefit rates (26.8% Gov, 31% Private)

NIH Salary Cap ($183,500)

 

Key personnel must have a measurable % effort with or without salary.  As needed, non-salaried persons may be considered “Other significant contributors”. Technicians, GRA’s etc. are usually not considered key personnel. Indicate positions to be filled as “to be named”. Please note that departments within the University may require salaries to correspond with the % effort.

 

Consultants

Generally, a consultant is someone outside of Columbia who is receiving some form of payment.  If a consultant uses their institution’s facilities, it is considered grounds for a subcontract.  Industry consultants may require a service agreement.

 

Equipment & Supplies

Those items costing more than $2,500 are defined as "equipment". Those items costing less than $2,500 should be put in the "supplies" category.

 

Patient Care Costs

Specialized tests not done in a hospital laboratory or a licensed, commercial testing laboratory are not considered patient care costs and must be included under "Other Direct Costs". “Real costs” must be used and billing quotes are required.

 

NIH Grants Policy Statement is a valuable resource for searching policies and procedures on numerous topics for NIH grants: http://grants.nih.gov/grants/policy/nihgps_2003/

 

This link will take you to a section which includes a subsection titled “Research Patient Care Costs”:

http://grants2.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part13.htm

 

This information regarding allowable Research Patient Care Costs is adapted from the 45CFRPart74, Appendix E. It is towards the end of this linked section and there are specific allowable costs lists associated with the Patient Care Agreement:

http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?TITLE=45&PART=74&SECTION=91&YEAR=2001&TYPE=TEXT

 

Patient care. The cost of routine and ancillary or special 
services to research patients is an allowable direct cost of research 
agreements.
    a. Routine services shall include the costs of the regular room, 
dietary and nursing services, minor medical and surgical supplies and 
the use of equipment and facilities for which a separate charge is not 
customarily made.
    b. Ancillary or special services are the services for which charges 
are customarily made in addition to routine services, such as operating 
rooms, anesthesia, laboratory, BMR-EKG, etc.
    c. Patient care, whether expressed as a rate or an amount, shall be 
computed in a manner consistent with the procedures used to determine 
reimbursable costs under Pub. L. 89-97 (Medicare Program) as defined 
under the ``Principles Of Reimbursement For Provider Costs'' published 
by the Social Security Administration of the Department of Health and 
Human Services. The allowability of specific categories of cost shall be 
in accordance with those principles rather than the principles for 
research contained herein. In the absence of participation in the 
Medicare program by a hospital, all references to the Medicare program 
in these principles shall be construed as meaning the Medicaid program.

 

 

Other

Please include GRA tuition and fees here for each GRA, for each year. Current GRA salaries, tuition and fees.  No fringe for GRA’s should be added.

 

Consortiums

As of November 2004, the new NIH policy states that consortium F&A costs will no longer come out of the applicant’s Direct Cost limit. You may request such costs in addition to the direct cost limit or modular amount. This change is meant to encourage the use of consortiums.

 

Consortium costs are not calculated in CU’s F&A with the exception of upto $25,000 per consortium for the entire project period (not per year as is commonly mistaken).

 

Facilities and Administration Costs, a.k.a. Indirect Costs or A-21

(currently 61% for gov. grants)

 

Current CU Indirect Cost Rate Agreement

 

Indirect costs are the additional expenses incurred by the university due to the sponsored research activity of its faculty, for example, the utilities, waste disposal, maintenance and depreciation costs of running a laboratory. In order to measure these costs, colleges and universities follow a process established under government rules (Circular A-21) for recovery of these monies.

There are many types of costs associated with research that are not included in the A-21 calculation for organized research.  Exclusion of such costs from the Direct Cost (DC) is what’s called the Modified Total Direct Cost (MTDC), and used only to calculate F&A cost. 

 

MTDC x F&A rate= F&A

DC + F&A = TDC (Total Direct Cost)

Exclusions include a portion of salaries of faculty engaged in departmental research (A-2), Graduate Research Assistant (GRA) student tuition and fees, equipment (for items $2,500 or greater), patient care costs, renovations/alterations and subcontracts greater than $25,000. These costs are routinely borne by the University. The above items contribute to what we call the "full" costs of research.

The A-21 calculation is based on the following simple formula:  

 

Indirect Costs Incurred

= F&A Rate

Modified Tot Direct Cost (MTDC)

 

The numerator consists of three main cost components: Administrative (university-wide, school-based, and department-based); Facilities (operation and maintenance of buildings and depreciation); and library.  Each of these components contribute to the numerator, an amount based on the total actual cost that is assignable to sponsored research.

The denominator (MTDC) consists of all direct costs of organized research minus exclusions.

 

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Funding Opportunities and Resources:

 

I strongly recommend that all researchers who are seeking funding opportunities visit the following CU link on Research Funding if you have not recently:

 

http://www.cumc.columbia.edu/research/funding.htm

 

While databases are very useful, they require you visit and search regularly. A very good supplement/alternative is the use of listserv and e-mail alerts, which are linked to major “funding resource” databases.

 

Sponsored Programs Information Network (SPIN) Database, for example, uses SMARTS—an e-mail alert system that matches your profile (from the “GENIUS” module) with opportunities from SPIN. Several other such services are listed here. These list serv’s are highly customizable, amendable and automatically send you e-mail alerts as soon as a new funding opportunity is added that matches your pre-set criteria.

 

 

Also available for general counsel and assistance is:

 

Jamie Rubin, Ph.D.

Director of Research Development, Department of Medicine

Assistant Professor of Clinical Medicine, Radiation Oncology

 

 

 

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