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Title: Cancer Centers Administrators Forum

Cancer Centers Administrators Forum
  • October 20, 2009
  • Leo F. Buscher Jr.
  • Director, NCI Office of Grants Administration

Welcome to Washington D.C.
UAB Comprehensive Cancer Center Arizona Cancer
Center City of Hope National Medical
Center Salk Institute Cancer Center Moores
Cancer Center UC San Diego The Burnham
Institute Jonsson Comprehensive Cancer Center
UCLA USC/Norris Comp. Cancer Center Chao Family
Comprehensive Cancer Center UC Irvine Stanford
Cancer Center UCSF Helen Diller Family
Comprehensive Cancer Center UC Davis Cancer
Center University of Colorado Cancer
Center Yale Cancer Center Lombardi
Comprehensive Cancer Center Georgetown
U Winship Cancer Institute Emory U H. Lee
Moffitt Cancer Center Res. Inst. U of South
Florida Cancer Research Center of
Hawaii University of Chicago Cancer Research
Center Holden Comp. Cancer Center U of
Iowa Robert H. Lurie Comprehensive Cancer Center
Northwestern The Jackson Laboratory Cancer
Center Indiana University Melvin and Bren Simon
Cancer Center Purdue U Center for Cancer
Research Sidney Kimmel Comprehensive Cancer
Center Johns Hopkins U Greenebaum Cancer
Center U of Maryland David H. Koch Institute
for Integrative Cancer Research at
MIT Dana-Farber/Harvard Cancer Center University
of Michigan Comprehensive Cancer Center Masonic
Cancer Center U of Minnesota The Barbara Ann
Karmanos Cancer Institute Wayne State U Mayo
Clinic Cancer Center University of Nebraska
Medical Center/Eppley Cancer Center Siteman
Cancer Center Norris Cotton Cancer Center
Dartmouth-Hitchcock Med. Center The Cancer
Institute of New Jersey U of New Mexico Cancer
Center Research Treatment Center Albert
Einstein Cancer Research Center Roswell Park
Cancer Institute Cold Spring Harbor
Laboratory Memorial Sloan-Kettering Cancer
Center NYU Cancer Institute Hebert Irving
Comprehensive Cancer Center Columbia
University Duke Comprehensive Cancer Center UNC
Lineberger Comprehensive Cancer Center Wake
Forest Comprehensive Cancer Center Comprehensive
Cancer Center The Ohio State University Case
Comprehensive Cancer Center OHSU Knight Cancer
Center Oregon University The Wistar
Institute Abramson Cancer Center University of
Pennsylvania Fox Chase Cancer Center Kimmel
Cancer Center Thomas Jefferson
University University of Pittsburgh Cancer
Institute Hollings Cancer Center University of
South Carolina St. Jude Childrens Research
Hospital Cancer Therapy Research Center U of
Texas, San Antonio Vanderbilt-Ingram Cancer
Center Huntsman Cancer Institute University of
Utah M.D. Anderson Cancer Center U of
Texas Fred Hutchinson/University of Washington
Cancer Consortium Dan L. Duncan Cancer Center
Baylor Massey Cancer Center Virginia
Commonwealth University UVA Cancer Center UW
Paul P. Carbone Comprehensive Cancer Center
Cancer Centers Program
  • The NCI Cancer Centers Program was created by
    Congress in the National Cancer Act of 1971.
  • 65 NCI-designated Cancer Centers.
  • New NCI-designated Cancer Centers in Spring 2009
  • Winship Cancer Institute at Emory University
  • Hollings Cancer Center Medical University of
    South Carolina
  • 40 Comprehensive Cancer Centers.
  • Budget in FY 2009
  • 286 million (CORE grants only)

Georgetown University Healy Hall
New NIH Director Francis S. Collins
NIH Building 1
NIHs New Director
  • On 8/17/09, Dr. Francis S. Collins became NIHs
    new director.
  • During his first day on the job, Dr. Collins
    addressed NIH staff, outlining five key themes
    for the agency five themes tied together by the
    value they gain from extramural research.

NIH Building 1
Dr. Collins Five Key Themes
  • Apply high-throughput technologies to understand
    fundamental biology and uncover causes of
    specific disease states.
  • Translation develop diagnostics, preventive
    strategies, and therapeutics.
  • Put science to work for healthcare reform.
  • A greater focus on global health.
  • Reinvigorate and empower the biomedical research

  • NCI Cancer Centers Program
  • NIH New Director Themes
  • Budget News
  • ARRA ARRA Reporting Requirements
  • Policy Updates
  • Funding Policy - New/Early Stage Investigators
  • SBIR/STTR FA Rate Negotiation
  • Registration of Clinical Trials
  • Protecting Sensitive Data
  • Policy Reminders
  • Revised NCI Cap on Renewal Applications
  • Salary Cap
  • Other Support
  • Human Stem Cell Research
  • Public Access
  • Financial Conflict of Interest
  • Change of Scope
  • OLAW OHRP Updates
  • Electronic Submissions Update

Budget News
NIH Funding Trends
  • Since 2003, NIH's RD increase in funding has
    slowed considerably

Final NIH Appropriations FY 2009
  • NIH received a total of 30.4 billion in new
    budget authority.
  • Increase of 3.2 from FY 2008
  • Supported 9,800 new and competing RPGs
  • Average competing award increased by 3.
  • Noncompeting awards were supported at the most
    recently committed levels.
  • NIH supported a 1 increase in all NRSA stipend

More at http//
What Stays at NIH… and what goes Elsewhere
83 Outside NIH gt 325,000 Scientists gt 3,000
Organizations Worldwide
17 Inside NIH Intramural Research (10) Staff
Buildings (5) Other (2)
NIH Extramural Funding
Breakdown of 30.4 Billion Appropriated to NIH
for FY 2009
16.1 B
FY 2009 Budget for NCI 4.97 Billion
2.1 B
NCI FY 2009 Grants Estimated Actuals
Grant Mechanism Dollars ( in millions) RPGs
2,063 Centers Total 562 CORE Grants (P30,
P20) 286 SPOREs 131 Centers
(Other) 145 Other Research 417 Cancer
Education 32 Careers
79 Groups 234 Other 72 NRSA
70 Total 3,112
NCI FY 2009 Operating Budget Paylines
  • NCI RPG Paylines
  • R01 16th percentile
  • R01 22nd percentile
  • Large R01 16th percentile
  • R03 210 priority score
  • R21 16th percentile
  • R33 155 priority score
  • P01 Selected via exception on a case-by-case
    basis in priority order.

FY 2010 NIH Budget
Rock Creek Park
Breakdown of 30.9 Billion FY 2010 Presidents
Budget for NIH
16.4 B
New Jobs
Summer Students
Diversity Programs
Clinical Trials
American Recovery and Reinvestment Act (ARRA)
  • 10 billion appropriated directly to NIH
  • Stimulate and accelerate biomedical research with
    existing mechanisms.
  • Expand science with new programs.
  • ARRA website http//

NIH Allocation of ARRA Funds (dollars in billions)
ARRA Funds Allocated to NIH
  • 7.4 billion NIH Institutes and Centers
  • 1.26 billion to NCI
  • 1 billion extramural construction
  • 500 million NIH construction
  • 300 million shared instrumentation
  • 400 million comparative effectiveness research
    (400M HHS 300M AHRQ)
  • 800 million NIH Office of the Director

NIHs Working Plan for Allocating ARRA Funds
  • Support the best scientific opportunities.
  • Projects with the broadest impact.
  • Work that can be accomplished in two years.

New ARRA NIH-Wide Programs
  • Challenge Grants
  • Grand Opportunities (GO Grants)
  • Small Business Opportunities (BRDG-SPAN and
    Small Business Catalyst awards)
  • Recruit new faculty to conduct research
  • Provide summer jobs for high school / college
    students and teachers to work in science labs
  • Administrative Supplements and Competitive
    Revisions to existing grants

ARRA Funding A Once in a Lifetime Opportunity
  • Careful and thoughtful planning by the NCI
  • Strategic foresight minimizing the out-year
    (cliff) effect
  • Maximizing our ability to generate Congressional
    enthusiasm about investments in cancer research

ARRA at NCI (FY 2009 FY 2010)
NCI FY 2009 Operating Budget ARRA Paylines
  • 16th-18th percentile pay R01s for 4 years, R21s
    for 2 years.
  • 18th-25th percentile pay R01s and R21s for 2
    years with selected R01s for 4 years.
  • 22nd-25th percentile pay R01s for 5 years.
  • Additional 2 P01s per point 16th-25th
  • Estimated total ARRA RPG cost to raise payline
    159 million.
  • 369 RPGs have been funded due to the extended
    payline under ARRA.

  • ARRA Supplements awarded as of 9/30/09
  • Est. of Awards Est. Total Awarded
  • Administrative 847 272,737,000
  • Competing 68 45,188,000
  • Total 915 317,925,000
  • Supplement Success Rates
  • Equipment (admin.) 16.6
  • General Support (admin.) 15.0
  • Payline for competitive supplements set at 23
    (based on priority score)

NIH Funded Cancer Grants
CER comparative effectiveness research
Challenge Grants
  • Challenge Grants support published research topic
    areas using two-year ARRA funds.
  • NIH received approximately 20,000 Challenge Grant
  • The number of applications submitted to the
    Challenge Grant funding opportunity nearly
    matches the total number of applications NIH
    receives in a regular Council round.

Challenge Grants (cont.)
  • NIH opted to fund 18 cancer Challenge Grants
    (17.7M) of the 37 NCI sent forward.
  • NCI selected an additional 41 high priority
    grants (38M).
  • Comparative effectiveness research NIH funded 15
    NCI grants for 13.2M.
  • NCIs overall success rate was 20 of grants

Grand Opportunities (GO) Grants
  • GO Grants use two-year ARRA funds to support
    biomedical and biobehavioral research endeavors
    to enable growth and investment in biomedical
  • NIH matched NCIs funding of 18 cancer GO Grants
  • NCI funded 33 additional GO Grants (64M).
  • AIDS 21 awards, 21M.
  • Functional biology 5 awards, 24M.
  • Translational 5 awards, 16M.
  • Viruses and cancer 2 awards, 3M.
  • Comparative effectiveness research NIH fully
    funded 12 NCI grants for 48M.
  • Overall success rate 17 of grants reviewed.

  • Accelerating Clinical Trials of Novel Oncologic
  • 37 early phase clinical trials of new treatment
  • Awards contingent on IRB approval and opening to
    patient enrollment within 90 days completion in
    2 years.

ARRA Funding for Cancer Research by Organ Site
As of July 2009
NCI ARRA-Supported Items in FY 09
  • 31 NIH Blue Sheets contained NCI ARRA-supported
    items in FY 2009.
  • 1,613 items were approved for 846 million in FY
  • 1,564 grants for 522 million.
  • 49 contracts for 318 million.

ARRA Expenditures on Cancer Research Grants in FY
09 628 Million
522 M
106 M
Total Cancer Grant Obligations in FY 09 3,740
3,112 M
628 M
New Grant Actions in September 2009
NCI Grant Awards by Quarter in FY 09
RD Contracts
  • Examples of programs and projects funded under
    contracts (current estimate of ARRA funds 494M)
  • Cohort studies
  • Phase I/II therapeutic imaging clinical trials
  • DCTD expansion of Chemical Biology Consortium
    overall therapeutics program
  • caBIG - Cancer Cloud
  • DCTD clinical assay development molecular
    characterization centers

Contract Example CBC
  • Goal accelerate new therapies
  • Government-academic collaborations
  • Subcontracting
  • Identified qualified pool of academic contractors
  • Solicitation went to 30 bidders
  • 11 awards made
  • 8 academic labs
  • 3 commercial labs

ARRA Reporting Requirements
ARRA Requirements
  • ARRA fund recipients are required to submit
    reports within 10 days of the end of each federal
  • Reports must be submitted to www.federalreporting.
    gov and possibly to the awarding agency.
  • First reports were due 10/10/09.
  • Separate Accounts in Payment Management System
  • ARRA funding will be accessed through a totally
    unique account from non-ARRA funding for each
    funded award.
  • Separate Financial Reporting
  • Separate SF 272 and Financial Status Reports will
    be required to be submitted covering this
    additional funding.
  • These will be in addition to any required
    financial reports for the parent grant.

ARRA Requirements (cont.)
  • Separate closeout documents
  • Separate Final Progress Reports, Final Financial
    Status Reports, and Final Invention Statements
    will also be required to closeout the Recovery
    Act funding at the time the ARRA funding ends.
  • These closeout reports for the ARRA funding are
    required even when the parent grant continues.
  • ARRA funds are not available for rebudgeting or
    carryover into the parent grant.
  • Any ARRA funding remaining at the end of the
    funding period for this award must be reported as
    an unobligated balance.

ARRA Requirements (cont.)
  • No co-mingling of ARRA T-3 and parent grant
    dollars allowed (assuming parent grant funded
    with regular appropriation dollars).
  • Separate institution accounts and PMS drawdowns
  • No rebudgeting between parent and ARRA T-3.
  • No carryover of ARRA T-3 balances into the
  • If an ARRA award includes a commitment for an
    ARRA-funded future year in FY2010, grantees will
    be able to carryover from the FY2009 budget
    period into FY2010.
  • No carryover allowed between ARRA funding budget
    periods and budget periods funded by non-ARRA

Unique Business Processes Modified Carryover
  • 04 Yr funds CANNOT be carried forward into -05
    -04 year financially closed.
  • 05 Yr funds CAN be carried forward into -06.
  • 06 Yr funds CANNOT be carried forward into -07.
  • 04 Yr funds CANNOT be carried forward into -07

NIH ARRA Reporting Requirements Website
  • Prime recipients of ARRA-funded grants and
    cooperative agreements are subject to the
    quarterly reporting provisions of Section 1512 of
    the Act, as are any subrecipients delegated
    reporting responsibility by a prime recipient.
  • NIH has developed NIH-specific resources to help
    ARRA grant recipients fulfill their reporting
  • These resources include an extensive list of FAQs
    that will be regularly updated, applicable Guide
    Notices, and links to OMB guidance and Webinars.
  • These resources can be found at

Policy Updates
Revised New and Early Stage Investigator Policies
  • For R01 applications in FY2009, NIH expects to
    support New Investigators at success rates
    equivalent to that of established investigators
    submitting new applications.
  • Majority of New Investigators are expected to be
    Early Stage Investigators.
  • Applications will be clustered during initial
    peer review to the extent possible.
  • NIH encourages New Investigators and ESIs to
    apply for R01 grants when seeking first-time
    funding from NIH.
  • More at http//

New Threshold for Negotiating FA Rates on
  • SBIR/STTR applicants proposing FA rates of 40
    of direct costs or less will not be required to
    provide further justification at the time of
    award, and FA costs will be awarded at the
    requested rate.
  • NIH retains authority to require well-documented
    proposals for FA rates on an ad-hoc basis.
  • If applicant has a currently effective rate, such
    rates should continue to be used in NIH
  • Policy applies to all competing SBIR/STTR
    applications submitted for FY2009 funding and
    beyond. Non-competing awards funded in 2009 or
    earlier will continue to be funded at the
    committed level if between 25-40.
  • More at http//

Mandatory Registration of Clinical Trials
  • Mandatory Registration
  • All applicable clinical trials of drugs and
    biologics and devices are to be registered in the database by the responsible
  • NIH will verify registration before funds are
  • Civil penalties to be levied for noncompliance if
    trials are not properly registered.
  • Results Reporting
  • P. L. 110-85 mandates the establishment of a
    clinical trials results database. Effective
    September 27, 2008, the NIH launched an expanded database that can accept
    basic results information.
  • See NIH Guide Notice 4/1/09 http//grants.nih.go

Renewed Focus on Protecting Sensitive Data in
  • Federal Information Security Management Act
    (FISMA) requires that all information systems
    which contain Federal data, electronic or hard
    copy, must be protected from unauthorized access.
    Public Law 107-347
  • Access to data should be limited through password
    protection and other appropriate means.
  • Personally identifiable, sensitive and
    confidential information should not be housed on
    portable electronic devices, but if they must be
    used the data should be encrypted.
  • FISMA applies to grantees but only when they
    collect, store, process, transmit, or use
    information on behalf of HHS.
  • All grantees have responsibility to protect
    personally identifiable, sensitive and
    confidential data.

Policy Reminders
Revised NCI Cap on Renewal Applications
  • For all Type 2 R01, U01, and P01 renewal
    applications, the direct cost budget request for
    the first year cannot generally exceed an
    increase of 10 over the direct cost budget
    awarded for the last year of the prior project
    period (i.e., the last Type 5 award).
  • Effective for renewal applications that have
    receipt/submission dates on and after October 1,

Salary Cap
  • Restricts the amount of direct salary under a
    grant or contract to Executive Level I of the
    Federal Executive Pay Scale.
  • Salary Cap Summary (Historical Information)
  • See NIH Guide Notice 3/19/09 http//grants.nih.g

Other Support
  • NIH requires complete and up-to-date other
    support information before an award can be made
  • Complete means all sources of research support
    (including outside the applicant organization)
  • Grantees must report changes in other support as
    part of the annual progress report.
  • Far too many applications are submitted without
    reporting complete other support.

Human Stem Cell Research
Final NIH Guidelines on Human Stem Cell Research
  • Effective July 7, 2009 (see Guide Notice
  • Guidelines establish a new NIH Registry of Human
    Embryonic Stem Cells (hESCs) eligible for use in
    NIH funding, and centralize processes and
    procedures for NIH review of hESCs for inclusion
    on Registry.
  • Guide Notice NOT-OD-09-123 provides information
  • new applications proposing to use hESCs,
  • ongoing NIH research using previously approved
    hESC lines, and
  • the status of applications previously submitted
    (including ARRA applications).
  • More at http//

Final NIH Guidelines on Human Stem Cell Research
  • Guidelines prescribe the assurances and
    supporting documentation that must accompany
    requests for NIH funding for research using hESCs
    and describe research that is not eligible for
    NIH funding.
  • Ongoing NIH-supported research involving
    previously approved hESC lines may continue.
  • No new uses of hESC may be initiated in ongoing
    funded studies unless reviewed and approved by
    the NIH.
  • Inquiries should be directed to
  • Division of Grants Policy
  • Office of Policy for Extramural Research
  • National Institutes of Health
  • 6705 Rockledge Drive, Suite 350
  • Bethesda, MD 20892
  • Email

Awards for hESC Research
  • Until hESCs are included on the new NIH Registry,
    all awards for hESCs will include special terms
  • New awards will include a restriction that no
    hESC research may be conducted until hESCs are
    listed on the Registry and the grantee identifies
    the line to be used.
  • Ongoing awards (including Type 5s) will include
    an informational term that no new use of hESCs
    may be initiated unless the grantee notifies NIH
    of the specific line from the Registry to be used.

NIH hESC Registry
  • NIH is developing a new web-based form to be used
    by the research community to submit hESCs to the
  • The form is separate from the grant application.
  • The Registry will list hESCs that are pending
    review by NIH, those approved for use in NIH
    funded research, and those reviewed and not
    approved for use in NIH funded research.
  • The Registry will be posted at

Human Subject Research Considerations in Relation
to hESCs
  • HHS-supported research that involves neither
    interactions nor interventions with living
    individuals or obtaining identifiable private
    information is not considered human subjects
    research according to regulations at 45 CFR 46.
  • See OHRP guidance at http//
  • Therefore, in vitro research or research in
    animals using previously derived and established
    human cell lines, from which the identity of the
    donor cannot be readily ascertained by the
    investigator, is not considered human subjects
    research and does not require IRB review and

Public Access
Public Access Policy Now Permanent
  • All investigators funded by NIH must submit to
    PubMed Central an electronic version of their
    final, peer-reviewed manuscripts upon acceptance
    for publication.
  • Compliance mandated by Public Law 110-161.
  • Applicable to
  • Peer-reviewed articles,
  • Accepted for publication on or after 4/7/08, and
  • Arising from direct grant or contract funds
    active in FY 2008, and beyond.
  • Full-text articles to be made publicly available
    on NLMs PubMed Central no later than 12 months
    after date of publication.
  • More at http//

NIH Public Access Policy Compliance
  • Compliance with the NIH Public Access Policy is
    an institutional responsibility. Failure to
    provide evidence of compliance in an application,
    proposal or report is a violation of the terms
    and conditions of the NIH award.
  • NIH may suspend awards found to be out of
    compliance, pending corrective action, or may
    terminate the award for cause (per 45 CFR 74.61,
    74.62, and 92.43).
  • Direct NIH Public Access Policy questions to
  • Office of Extramural Research
  • National Institutes of Health
  • 1 Center Drive, Room 144
  • Bethesda, MD 20892-0152
  • Email
  • Website http//
  • More at http//

Financial Conflict of Interest
Federal Treasury Building
IOM Calls for More Regulations to Reduce Conflict
of Interest
  • On 4/28/09, the Institute of Medicine (IOM)
    issued a reports calling for major voluntary and
    regulatory actions to reduce conflicts of
    interest in medical research, education, and
  • The report, entitled Conflict of Interest in
    Medical Research, Education, and Practice,
  • the "format for disclosure and categories of
    relationships" be standardized across
    institutions and
  • Congress should require pharmaceutical,
    biotechnology, and device firms to report through
    a public Web site the payments they make to
    doctors, researchers, academic health centers,
    professional societies, patient advocacy groups,
    and others involved in medicine.

Advanced Notice of Proposed Rulemaking (ANPRM)
  • ANPRM addresses various topics including
  • Expanding the scope of regulation and disclosure
    of interests
  • Definition of Significant Financial Interest
  • Identification and management of conflicting
    interests by institutions
  • Assuring institutional compliance
  • Requiring institutions to provide additional
  • Broadening the regulations to address
    institutional conflict of interest
  • Comment period closed 7/7/09.

Financial Conflict of Interest (FCOI)
  • Everyone must take responsibility to ensure
    compliance with the FCOI regulation that has been
    in effect since 1995 by ensuring NIH-funded
    research is conducted objectively and in the
    absence of inappropriate influences.
  • NIH continues to enhance and promote compliance
    with the FCOI Regulation (42 CFR Part 50, Subpart
  • NIH system-wide review of FCOI policies,
    procedures, and guidance.
  • eRA Commons FCOI module/reporting tool for
  • Updated FAQs and a Web-based tutorial.
  • Web Postings / Resources at

eRA Commons FCOI Module/ Reporting Tool
  • Enables grantees to report identified FCOIs to
    NIH through the eRA Commons.
  • System allows institutions to
  • Initiate and send a new FCOI report
    electronically through the eRA Commons
  • Search previously created records
  • Edit a previously submitted record
  • Respond to a request for additional information
  • Rescind a previously submitted record
  • View history of actions
  • Effective July 1, 2009, system will be mandatory
    for all NIH grants and cooperative agreements.
  • To prepare, institutional Signing Officials must
    assign FCOI roles to users in eRA Commons.
  • More at http//

Updated Expanded FAQs on FCOI
  • For all NIH-supported Institutions
  • Categorized for ease of reference
  • General Questions
  • Institution-Specific Questions
  • Investigator-Specific Questions
  • Web Postings and Resources at http//grants.nih.g
    and http//

FCOI Web-Based Tutorial
  • Reviews requirements of and responsibilities for
    compliance with Federal FCOI regulations
  • Designed for use by
  • Institutional officials responsible for managing
    NIH-funded grants, cooperative agreements and/or
  • Individuals who are responsible for the design,
    conduct or reporting of NIH-supported research.
  • Includes quizzes to test understanding and a
    Certificate of Completion
  • See NIH Guide Notice 8/15/08 http//grants.nih.g

FCOI Subrecipients
  • If the grantee institution performs NIH-funded
    research through subgrantees, contractors, or
    collaborators, the grantee institution must
    take reasonable steps to ensure compliance by
    requiring either
  • Subrecipient Investigators to comply with the
    grantee institutions policy OR
  • Subrecipient institutions to provide assurances
    to the grantee institution that will enable it to
  • Subrecipients should report identified FCOIs to
    grantee institution. Grantee institution reports
    to NIH.

Change of Scope
Old Post Office
New Business Process Concerning Change of Scope
  • Effective 5/5/09, there is a new business process
    for submitting revised Project Summary/Abstracts,
    Specific Aims, and/or Public Health Relevance
    statements when changing the scope of proposed
    research projects.
  • Grant applicants should discuss potential changes
    in scope with NIH Program Officials and revise
    the Project Summary/Abstract, Specific Aims,
    and/or Public Health Relevance sections of their
    application as appropriate.
  • Once all issues are resolved, applicants should
    e-mail a document with final versions of the
    revised sections to the IC-designated e-mail
    address (normally either a Program Official,
    Grants Management Official, or centralized e-mail
    box) as a single Microsoft Word or Adobe PDF
    (Portable Document Format) file.
  • More at http//

OLAW and OHRP Updates
OLAW Compliance Assistance
  • What Investigators Need to Know About the Care
    and Use of Laboratory Animals
  • Brochure explains the requirements for using
    animals in PHS-supported research.
  • Contact OLAW to request multiple copies.
  • FAQs on PHS Policy on Humane Care and Use of
    Vertebrate Animals available on the OLAW
  • IACUC 101 is a series of workshops on the roles
    and responsibilities of IACUCs, including federal
    policies and regulations regarding animal
  • A list of IACUC workshops can be found at

More at http//
Consortium Agreements Subawards and Animals
  • Prime grantee is accountable to NIH and must
    confirm Assurance and IACUC approval (dated
    within 3 years).
  • Animal welfare requirements apply to all
    consortium participants and sub-projects.
  • Inter-Institutional Assurance is needed
  • Prime grantee has no animal program animal work
    is being conducted at an Assured performance
  • Foreign Assurance is needed
  • Direct support to a foreign institution.
  • Domestic prime grantee with a foreign performance
    site using animals (Domestic grantees IACUC
    approves animal activities performed at foreign
  • GPS Page 224 at http//

Updated Guidance from OHRP
  • Revised Guidance on Research Involving Coded
    Private Information or Biological Specimens
  • Provides guidance on when coded private
    information or specimens is or is not research
    involving human subjects.
  • Reaffirms OHRP policy that, under certain limited
    conditions, this research is not human subjects
  • Clarifies distinction between
  • Research involving coded private information or
    specimens that does not involve human subjects,
  • Human subjects research that is exempt from the
    requirements of HHS regulations.
  • More at http//

Registration Requirements for Institutional
Review Boards
  • Published in Federal Register on January 15, 2009
    and effective July 14, 2009.
  • OHRP has added a new subpart E to the HHS
    protection of human subjects regulations, which
    requires IRBs to register with HHS.
  • Registration information includes contact
    information, approximate numbers of all active
    protocols and active protocols involving research
    conducted or supported by HHS, and staffing for
    the IRB.
  • Initial registration was due by September 14,
  • Registration does not mean OHRP has determined
    the IRB is in compliance with Protection of Human
    Subjects regulations at 45 CFR Part 46.
  • More at http//

Adobe Application Forms and Electronic Submission
Washington D.C. Temple
Adobe Not very different…
  • The new Adobe forms look very similar to PureEdge
    forms -- Changes are cosmetic and navigational
    (see comparison at http//
  • Overall electronic submission process remains the
  • Find opportunity
  • Download application package
  • Develop research plan and other PDF attachments
  • Complete forms
  • Submit application
  • Check assembled application in eRA Commons

Works on both Macs and PCs
… but follow these important tips to ensure
  • Adobe Reader 8.1.3 or 9.0 required to open forms
    (8.1.6 and 9.1.2 are recommended)
  • Stay tuned to Grants.govs Download Software
    page for changes (http//
  • A pop-up usually warns if you have a wrong
  • If using an Adobe Acrobat product to create PDFs,
    check Grants.govs Web site for help on settings
  • To ensure the application reader opens in the
    correct version of Adobe

Electronic Submission Update
  • Adobe-based grant application forms are now
    available for all Funding Opportunity
    Announcements (FOAs) requiring electronic
  • Individual Fellowship Awards (Fs) transitioned to
    electronic submission for the August 8 submission
  • Next set of transitions
  • New PHS 398 and SF 424 (RR) Application forms
    expected in late 2009.
  • Transition of Training (T) and complex mechanisms.

Sample Changes to Application Forms
  • RR Senior/Key Person Profile
  • Added Degree Type and Year (note this will allow
    NIH to remove Degree fields from PHS 398 Cover Pg
  • RR Project/Performance Site Location(s)
  • Moved Congressional District data from RR Cover
  • Added DUNS Number field
  • RR Other Project Information
  • Re-ordered and revised Human Subjects fields
  • Revised fields on Environmental Impact
  • Added field for impact on Historical Places
  • PHS 398 Checklist
  • Added Disclosure Permission Statement
  • PHS 398 Research Plan
  • Alignment with enhanced peer review criteria and
    shortening of the application.
  • More at http//

Future Transitions to Electronic Submission with
Adobe Forms
Transition Complete!
  • Fellowship (F) August 8, 2009
  • K12, K30 Training (T) January 25, 2010
  • Complex TBD

More at http//
Available Resources
  • Resources for the Adobe transition
  • can be found on
  • NIH Electronic Submission of Grant Applications
    Web site http//
  • Web site (Applicant Resources)

Amtraks Acela Express
X-Train Open to All Institutions
  • X-Train is a new system to improve the
    administration of NIH Training Grants.
  • Allows PIs and staff to electronically submit
    appointment forms and termination notices.
  • Allows institutional staff to track status and
    timing of appointment actions.
  • Available for all NIH NRSA Research Training
    Grants (i.e., T32, T34, T35, T90, TL1 and TU2).
  • Accommodates separate appointments for ARRA
    supplements to training grants.
  • Accessible through eRA Commons.
  • NIH continues to develop X-Train for use in other
    training programs in the future.
  • See NIH Guide Notice 7/10/09 http//grants.nih.g

Iwo Jima Memorial
Electronic Submission of Fellowships
  • Effective with the 8/8/09 submission date, all
    grant applications for the Individual National
    Research Service Award (NRSA) Fellowships
    (F-series) will require electronic submission
    through to eRA Commons.
  • Paper applications will not be accepted for
    submissions on or after the August 8 transition.
  • For a complete listing of Fellowship FOAs, see
    the F-Kiosk http//

Electronic Submission of Fellowships (cont.)
  • Reference Letters Electronic submission of
    reference letters is separate from the electronic
    submission of applications.
  • Reference letters are submitted directly through
    the eRA Commons and do not use
  • Fellowship applicants must follow the Reference
    Letter Instructions in the SF424 (RR) Individual
    Fellowship Application Guide for specific
    directions (Part 1, Section 5.4).
  • Resubmissions Resubmission applications must
    include an Introduction addressing the previous
    peer review critique (Summary Statement).
  • See new NIH policy on resubmission (amended)
    applications (NOT-OD-09-003, NOT-OD-09-016).
  • NIH Guide Notice 5/15/09
  • http//

Library of Congress
Closeout Final Reports
  • Grantees are strongly encouraged to submit
    closeout documents electronically through the eRA
  • Documents are due within 90 days of project
    period end date.
  • Final Financial Status Report (now required
  • Final Inventions Statement Certification
  • Final Progress Report

WWII Memorial
More at http//
NIH Centralized Processing Center
  • NIH encourages electronic submission of closeout
    documents through the eRA Commons.
  • Centralized office accepts receipt of all
    non-financial, paper-based closeout documents
  • Final Progress Report
  • Final Invention Statement and Certification
  • Mail to the Central NIH unit at
  • NIH Centralized Processing Center
  • 6705 Rockledge Drive, Room 2207, MSC 7987
  • Bethesda, MD 20892-7987 (for regular or US Postal
    Service Express mail)
  • Bethesda, MD 20817 (for other courier/express
    mail delivery only)

Helpful NIH Technical Assistance Resources
Quick and Easy Search New Tools to Search NIH
  • The new reports, data and analyses website was
    significantly upgraded in January 2009 with
    addition of RCDC data (Research, Condition and
    Disease Categorization process).
  • Replaces the current Award Information and Data
    web page and will provide
  • Quick access to Frequently Requested Reports
  • FAQs on how success rates are computed and
    questions on the NIH budget
  • Search tools for locating data and reports
    quickly and easily
  • Links to funding estimates for certain research
    areas, conditions, and diseases.
  • Foundation for broader NIH-wide Research
    Portfolio Online Reporting Tool (RePORT).
  • RePORT website http//

New Tools to Search NIH Funding (cont.)
  • This is the first time a complete list of all
    NIH-funded projects related to each category will
    be available.
  • RCDC combines data from NIH ICs explaining
    research spending and priorities to Congress and
    the public in 215 disease, condition, and
    research areas.
  • Reports actual and estimated spending figures for
    FY 2005-2010 not set-asides or allocations.
  • More at http//

Web Page on NIH Extramural Response to Natural
  • Part of NIHs commitment to the health of the
    biomedical community in the impacted areas, and
    concern for the health and safety of people and
    animals in the programs we oversee.
  • Includes
  • Links to Recent Guide Notices and event-specific
    web page
  • Links to other Federal web sites for disasters
  • NIH Emergency Contact Information
  • Examples of extramural assistance provided to
    previous natural disasters and emergencies
  • Frequently Asked Questions
  • Available at http//

Web Page on NIH Extramural Response to Natural
Disasters (cont.)
  • In the wake of natural disasters, NIH may
  • Allow a delay in grant application submissions
    equal to the time of institution closure or
    evacuation order.
  • Permit the limited expenditure of award funds, in
    accordance with grantee policy, to continue
    paying salaries and fringe benefits to
    researchers under unexpected or extraordinary
  • Assist with animal welfare issues.
  • Waive certain prior approval requirements.
  • Provide extensions of time for financial and
    other reporting.
  • Publish opportunities for funded extensions
    and/or one-time administrative supplements to
    current awards targeted at institutions in
    particularly impacted areas.

Frequently Asked Questions
Statue of Andrew Jackson, Lafayette Square
1 How do I change a Single PD/PI Application
to Multiple PD/PI?
  • This can only be done through a competing
    application e.g. renewal, resubmission, or
    competing revision.
  • For renewals resubmissions The PD/PI of the
    previous grant should be listed as the Contact
    PD/PI on the Multiple PD/PI grant. If another
    PD/PI is listed as a contact PD/PI, the
    application must also show as a Change of PD/PI.
  • For competing revisions The Contact PD/PI must
    be the individual previously noted as the PD/PI.
  • The renewal, resubmission, or revision
    application must now include the Multiple PD/PI
    leadership plan
  • You cannot change this through an administrative
    supplement request.
  • Multiple PI QAs http//

2 Does NIH Still Receive Late Applications and
Closeout Reports?
Definitely, Yes.
  • NCI was criticized in a recent Inspector General
    audit for 40 of applications coming in late in
    addition to late closeout reports.
  • It is necessary for grantee submit applications
    and closeout reports on time.

3 Do Late and Incomplete Applications have an
Impact on ICs?
Definitely, Yes.
  • NCI Considerable IC resources are diverted
    chasing late applications and missing items on
    incomplete applications.
  • NCI grants management specialists are spending a
    large amount of time emailing and/or calling
    grantee business officials to resolve these
  • Often grant management specialists do not receive
    replies to their inquiries even with follow-up

WWII Memorial
4 Does NIH Still Accept Unsolicited Grant
Yes. Use Parent Announcements (available on and NIH web pages) for unsolicited
or investigator-initiated applications.
  • Other funding opportunity announcements include
  • Program Announcements
  • Statement of new or ongoing NIH interest in a
    certain research area.
  • Requests for Applications (RFAs)
  • Statement soliciting applications in a
    well-defined scientific area to accomplish
    specific program objectives.
  • All Available at http//

5 Are Fellowship Candidates Required to
Register in eRA Commons?
Yes. Applicant organizations should register any
individual fellows submitting applications to NIH
and AHRQ.
  • PI Role in the Commons does not provide special
    status only a record in the system that
    provides administrative authority to see
    pertinent application documents (e.g. summary
    statements, scores, submission status, etc.).
  • Individual Fellows registered by any organization
    other than the sponsoring organization should not
    have more than one eRA Commons account.
  • More at http//

6 Are Consortium FA Costs Included as Part of
an Applicants Direct Costs?
No. Applicants are to exclude the facilities and
administrative (FA) costs requested by
consortium participants when determining if the
budget exceeds a direct cost limit.
  • This policy applies to
  • 250K direct cost calculation for modular
  • 500K direct cost calculation for NIH data
    sharing policy and requirement to contact IC
    staff for unsolicited applications requesting
    over 500K.
  • This policy does not apply to
  • Small Business Innovation Research (SBIR) grants.
  • Small Business Technology Transfer (STTR) grants.
  • More at http//

7 Does NIH have a Cap on Consultant Fees?
No. There is no cap on consultant fees and the
NIH salary cap does not apply.
  • Grantees must have written policies for paying
    consultants that
  • Are consistently applied regardless of fund
  • Include conditions for paying consultant fees.
  • Consultants must be properly classified.
  • Consultants are defined as individuals who
    provide professional services or advice for a
    fee, but normally are not employees of the
    organization. This also includes firms that
    provide advice or services.

8 How Different does a New Application have
to be?
New applications are expected to be
substantially different in content and scope
  • More significant differences than normally
    encountered in resubmission applications.
  • Rewording the Title and Specific Aims is not
  • Incorporating minor changes in response to
    reviewer comments is not sufficient
  • Research Plan changes should produce a
    significant change in direction and approach.
    All research plan sections should have
    substantial changes, particularly the Specific
    Aims and Research Design and Methods sections.

9 As a PI, what happens if I change
institutions mid-grant?
Prior, written approval is required for
transferring legal and administrative authority
for a grant to a different organization.
  • Transfer approval is not automatic and requires
    approval from both NIH and the original grantee
  • Contact your GMO before moving to initiate the
    transfer process.
  • Grants to individuals may not be transferred but
    individual fellowships may transfer to a new
    sponsoring institution.

10 Do ARRA Reporting Requirements Apply to all
ARRA-Funded Grant and Cooperative Agreement
Yes. All ARRA-funded, NIH extramural grant or
cooperative agreement recipients must report
information in accordance with Section 1512 of
the Recovery Act on a quarterly basis using the Web site.
  • Prime recipients are responsible for fulfilling
    the reporting requirements for both prime and
    sub-recipients however, prime recipients may
    delegate the reporting responsibilities to
  • The prime recipient is the grantee institution.
  • For details, see http//
  • OMB Guidance http//

11 Do ARRA Reporting Requirements Apply to all
ARRA-Funded Supplements even when the Parent
Grant is Non-ARRA?
Yes. All ARRA-funded recipients must submit
reports within 10 days of the end of each federal
  • Reports must be submitted to www.FederalReporting.
    gov and possibly to the awarding agency.
  • Separate Financial Reporting
  • Separate SF 272 and Financial Status Reports will
    be required to be submitted covering this
    additional funding.
  • These are in addition to required financial
    reports for parent grant.
  • Separate closeout documents
  • Separate Final Progress Reports, Final Financial
    Status Reports, and Final Invention Statements
    will also be required to close out the Recovery
    Act funding at the time ARRA funding ends.
  • These closeout reports for the ARRA funding are
    required even when the parent grant continues.

12 Can ARRA Funds be Extended to Summer
Students Beyond the Summer Months?
No. Use of ARRA funds to support summer students
in non-summer months is inconsistent with the
goals of ARRA.
  • The program was intended to provide research
    experiences and jobs for students solely during
    their summer break from school.
  • In fact, OPERA provided specific wording for use
    in these awards that stated "...solely for the
    purpose of providing summer research experiences
    to applicable individuals and may not be used for
    any other purpose.
  • However, it is possible for grantees to use any
    unexpended funds in the summer of 2010 or the
    summer of 2011, under certain circumstances.
  • For details, see http//

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Useful Resources
National Cathedral
Summary of Helpful NIH Web Pages
  • NIH searchable database of RFAs, PAs, and Guide
    Notices http//
  • NIH Grants Policy Statement (Rev. 12/03)
  • NIH Extramural Nexus Monthly newsletter for the
    extramural community http//
  • Electronic Submission of Grant Applications
    Homepage http//
  • CRISP database - Search to analyze an
    Institutes portfolio of funded projects,
    research areas, and more. http//
  • Grant Application Basics http//

NIH OER Listserv Addresses and Instructions
  • Office of Biotechnology Activities (OBA)
  • https//
  • Office of Human Research Protections (OHRP)
  • http//
  • Office of Laboratory Animal Welfare (OLAW)
  • http//
  • eSubmission
  • http//
  • Separate listservs available for scientists and
  • NIH Guide for Grants and Contracts
  • http//
  • The official publication for NIH medical and
    behavioral research Grant Policies, Guidelines
    and Funding Opportunities

Grants Information Who to Contact!
  • Institutional Resources - Utilize the expertise
    of your organizations Office of Sponsored
  • Application Specific Questions
  • Administrative - Contact the Grants Management
    Specialist at the awarding Institute/Center
  • Scientific/Programmatic - Contact the designated
    Program Official/Director at awarding
  • Review Questions - Contact the assigned
    Scientific Review Officer

Grants Information Who to Contact!
  • Grants Administration individuals at all NIH ICs
  • http//
  • NIH Chief Grants Management Officers
  • http//
  • Grants Policy Interpretation Consultation
  • E-Mail
  • Phone 301-435-0949
  • Compliance Issues
  • E-Mail
  • Phone 301-435-0949

Grants Information Who to Contact!
  • General Application Questions (Including
    e-Submission guidelines, resources referrals,
    application review award process, etc.)
  • E-Mail
  • Phone 301-435-0714
  • Customer Support for (navigating
    forms, aspects of submitting through the system,
    resources available, etc.)
  • E-Mail
  • Webpage http//
  • Phone 1-800-518-4726
  • eRA Commons Help Desk (Including Commons
    registration help, application verification,
    Commons functionality questions, etc.)
  • E-Mail
  • Webpage https//
  • Phone 301-402-7469 (Toll Free 866-504-9552)