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APPENDIX A
The Cancer Centers Core Grant Program:
Guidelines and Procedures
Robert A. Walkington
The National Cancer Institute (NCI) has provided support grants,
commonly called core grants, to cancer centers since 1961. The program
was significantly expanded under the National Cancer Act of 1971 and
subsequent amendments. Currently there are 59 centers receiving NC]
support (15 basic science centers, 3 consortium centers, and 41 clinical
centers. Total funding for the program in fiscal year 1989 wall be
approximately $101,345,000, a slight increase over fiscal year 1988. Center
core grants vary greatly in size, ranging from approximately $300,000 in total
costs to more than $7 million. In fiscal year 1988 the average (mean) size
of a core grant was $~.7 million. The median size was $0.9 million.
Cancer Center Core Grants
The core grants, formally called Cancer Center Support Grants, are
"...ciesigne`d to support those activities that unit consolidate and focus cancer
related research efforts in a single- administrative and programmatic
structured Core grant support is intended to promote the stability and
development of a center and to facilitate administrative and programmatic
control of center activities.
~ ~7
The core grant provides funds for salaries of certain key staff
members, operation of centralized shared resources and services, and
~ This figure does not include small phaseout grants for two centers whose
renewal applications were not funded in 1988.
2 This and all subsequent quotes (unless otherwise indicated) are from:
NCT, Guidelines: Cancer Center Support Grants (July, 1988~.
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administration of the center. The core grant also may provide
developmental funding for (a) investigators who have not previously had
funded grants; (b) newly-recruited investigators; (c) interim research support
for investigators of the center; and (~) new shared resources.
The core grants are not intended to fund laboratory and clinical
research, training, education, detection, or facilities construction activities.
Support of other cancer center functions depends upon federal and
nonfederal funding mechanisms, such as investigator-initiated research
project grants, program project grants, cancer control grants, education
grants, training grants for clinical trials research cooperative agreements,
research contracts, state funds, institutional funds, and private donations.
Grantee Application Procedures
Eligibility
To be eligible to apply for a core grant, an institution must be
nonprofit and have an existing base of high-quality research in the field of
cancer. This base must be demonstrated by the institution having at least
$750,000 in direct costs for peer-reviewed research and research training.
Applicants must also demonstrate characteristics that are considered
essential for the success of a cancer center. These characteristics include:
o
o
o
interdisciplinary coordination.
adequate organization and facilities.
adequate authority for the center director, including:
J
-control of appointments.
-control of center space and equipment.
-control of clinical-research facilities, if appropriate.
"institutional commitment," demonstrated by recognition of
the center as a major element within the organization, and
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also indicated 'by venous combinations of personnel, facilities,
and financial obligations and commitments."
Letter of Intent
Institutions are urger! to submit a leper of intent to NCI six months
before they plan to submit an application. On receipt of the letter of intent,
NCI stab determines whether or not the applicant institution is eligible to
apply. If eligible, NC! staff provides advice to the applicant.
Allowable Budget Items
The NCI has identified the categories of costs that are eligible for
support under the core grant. AD costs must be related to the research
programs of the center. 'The core grant is not designed to provide support
for routine screening, diagnosis, treatment or rehabilitation activities, or for
nonresearch education."
I. Personnel
The core grant can support the costs of personnel who are
responsible for the overall direction of the center. Such senior leadership
positions may include the center director, deputy directors, and associate
directors (e.g., for clinical sciences, basic/laboratory sciences, cancer control
research, and education).
Centers normally group their research into a number of programs,
and the major program directors "...are eligible for salary support...for the
time and effort they devote to carrying out such functions as research
planning, supervision, renew of results, publications, and/or grant
applications, etc."
Personnel costs also may be requested for staff Investigators. These
are scientists who are closely associated with the cancer center and who
have peer-renewed research support. "A major purpose of this partial
support is to provide some of the necessary stability for a 'core' of
investigators with proven records."
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2. Shared Resources..and Services
"The core grant may include funds for laboratory and clinical research
support facilities, equipment, and services that wall be used by multiple staff
for projects or programs supported by peer-rev~ewed grants or contracts."
Shared resources and services account for the largest amount of the
core grant costs.3 Table Al.presents a summary of the shared resources
and services supported by the core grant in fiscal year 1987. In that year,
519 shared resources and services were supported by more than $31 million
(direct costs) in core grant funds.
Figure Al shows the shared resources for an earlier year (fiscal year.
1985) broken down by major categories. Overall, approximately two-thirds
of the shared resources and services were for either laboratory science
resources or laboratory support.
..
3. Developmental Funds
The core grant can be used to provide developmental funds for
(a) new investigators, (b) interim research support for established
investigators, and (c) development of new shared resources. "It is the intent
that developmental funding provide a flexible means for the center director
to progress toward achieving the goals of the center."
The use of the funds for new investigators.is to allow up to three
years of support for an individual newly arrived at an institution, or for an
individual already at an institution, who is independent of a mentor, but at
the beginning stages of a research career. The developmental funds also
can provide for support of salary and research costs for up to 24 months for
an investigator whose renewal application is approved, but not awarded
because of lack of funds. Finally, developmental funds may be used to
develop new shared resources and services during the continuation years of
the core grant.
3 Approximately 51 percent (see Figure 5 on page 6.)
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TABLE Al Number and Direct Costs of Shared Resources by Category and by Type of Center (dollars in thousands),
F i sea l Year 1987
CLINICAL CENTERS LABORATORY CENTERS CONSORTIUM CENTERS ALL CENTERS
SHARED RESOURCE CATEGORY NUMBER COSTS NUMBER COSTS NUMBER COSTS NUMBER COSTS
ANALYSIS 3 101,608 1 25,933 0 . 0 4 127,541
ANIMAL 30 3,023,147 13 874,210 0 0 43 3,897,357
BIOHAZARD 10 628,087 5 84,705 0 0 15 712,792
CANCER CONTROL 5 255, 916 0 0 1 50, 000. 6 305, 916
CHEMISTRY 6 266,185 7 599,257 0 0 13 865,442
CHROMATOGRAPHY 2 189,300 0 0 0 0 2 189,300
CLINICAL RESEARCH UNITS 16 1,353,592 0 0 0 0 16 1,353,592
CLINICAL TRIAL MANAGEMENT 11 811,865 0 0 1 73,852 12 885,717
CLINICAL - OTHER 12 708,023 0 0 0 ~ 0 12 708,023
COMPUTER & DATA RESOURCES 11 1,252,797 6 259,662 1 91,400 18 1,603,859
CYTOGENET I CS/GENET I CS 5 155, 352 0 0 ~ 0 0 5 155, 352
at, . .
CYTOLOGY - ANALYTIC & IMMUNO 13 519,754 0 0 ~ . 0 0 13 519,754
ELECTRON MICROSCOPY 19 1,024,123 9 459,978 0 0 . 28 1,484,101
EPIDEMIOLOGY - STATISTICS 39 - .4,079 085 . 2~ 191,161 - :3 159,917 44 4,430,163
EQUIPMENT REPAIR/MACNINE SHOP 6 274 487 . 3 185,223 0 0 . 9 459,710
FLOW CYTOMETRY 30 ; 1,612,789 - 6 292,932 0 0 36 1,905,721
GENET I CS 0 0 2 157, 192 0 0 2 157, 192
GLASSWARE WASHING 13 1,506,187 9 593,188 0 0 22 2,099,375
ILLUSTRATION/PHOTOG/TYPESET 1 44,554 4 82,248 0 0 5 126,802
ISOTOPES 1 72,536 0 ~ 0 0 0 1 72,536
LIBRARY 9 452,468 5 204,990 0 0 14 657,458
MISCELLANEOUS 2 83,177 2 43,994 0 0 4 127,171
MOLECULAR BIOLOGY 6 190,831 1 25,530 0 0 7 216,361
MONOCLONAL ANTIBODIES 13 343,103 2 83,900 0 0 15 427,003
NMR 6 330, 721 1 34, 909 0 0 7 365, 630
ONCOLOGY NURSING 5 233,478 0 0 0 0 5 233,478
PATHOLOGY 6 232,277 7 213,188 0 0 13 445,465
PHARMACOLOGY 10 744,063 1 52,990 0 0 11 797,053
PHARMACY 6 234, 028 0 0 0 0 6 234, 028
RADIATION/RADIOBIOLOGY SVCS 9 236,833 3 52,442 0 0 12 289,275
RECEIVING/STOREROOMjBLDG SVCS 0 0 1 43,044 0 0 1 43,044
SECRETARIAL 11 716,469 5 424,841 0 0 16 1,141,310
SEMINAR 2 19,000 0 0 0 0 2 19,000
SEQUENCING 6 236,517 2 18,090 0 0 8 254,607
SHARED EQUIPMENT/INSTRUMENTS 6 295,114 10 552,640 0 0 16 847,754
spEcTRoMEIRr 5 210,342 3 104,288 0 0 8 314,630
SYNTHESIS 13 801,450 3 82,760 0 0 16 884,210
TISSUE CULTURE & MEDIA PREP 22 841,159 10 321,307 0 0 32 1,162,466
TISSUE ACQUIS & TUMOR BANKS 17 669,009 1 14,452 0 0 18 683,461
TOXICOLOGY/MUTAGENESIS TEST'G 1 47,947 1 15,020 0 0 2 62,967
TOTAL 388 S24,797,373 125 $6,094,074 6 $375,169 519 $31,266,616
SOURCE: Administrative ProfiLe Database, Cancer Centers Branch, NCI.
31
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FIGURE A1 Shared Resources by Type of Center Activity Supported,
Fiscal Year 1985
240
N
m 200
b
e
r 160
o
120
R
e
0 80
u
r
c 40
e
8
o
Laboratory Laboratory Epidemiology Clinical Adminletration
Science support giostatistice Research
Data Management
SOURCE: Unpublished report from Administrative Profile Database, Cancer Centers Branch, NCI.
4. Other Costs
The core grant also may be used to support administration, planning
and evaluation, clinical research costs, and alteration and renovation. In
recent years, very little money has been available for the latter two
categories.
Table A2 indicates how core grant funds have been budgeted by the
centers during fiscal years 1985, 1986, and 1987. The majority of funds each
year have gone to support shared resources and services. These figures
have stayed relatively constant over time; an analysis of the use of core
grants in 1977 found that 43.3 percent of the funds went to support shared
services.
32
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TABLE A2 Cancer Center Core Grant Awards by Authorized Budget Categories,
Fiscal Years 1985-1987
Fiscal Year
Budget Category
1985 1986 1987
Senior Leaders 5,660,245 5,669,202 5,847,537
Major Program Directors 2,935,601 3,069,551 3,064,796
Staff Investigators 10,051,693 9,538,912 9,377,276
Administration 6,198,620 6,644,402 6,759,058
Planning and Evaluation 276,653 282,224 277,348
Shared Resources 26,851,824 27,732,057 31,230,837
Developmental Funds 4,507,578 4,636,293 5,074,085
Alteration and Renovation 67,831 132,500 135,000
Research Costs of Patient Care 0 0 0
Total Direct Costs
56,550,045 57,705,141 61,765,937
Indirect Costs
Total Costs
(Direct and Indirect)
29,681,842 31,734,842 33,513,006
86,231,887 89,439,983 95,278,943
NOTE: The figures are based on authorized direct costs, exclusive of supplements
in 1986 and 1987 for IL-2 LAK studies; and excluding minority satellite supplements
and the effects of administrative adjustments to direct and indirect costs.
The data are voluntarily reported by centers and may cross the Federal fiscal year
or be omitted when a center did not submit information.
SOURCE: Data provided by the Cancer Centers Branch, NCI, from the Cancer Centers
Administrative Profile Database.
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5. Limitations on Costs
The NCI has imposed two limitations, or "caps," with regard to the
amount of funds that an applicant can request. These limitations apply to
the total amount of the increase that can be requested in renewal
applications and on the amount of support for staff investigators that can be
requested on both new and renewal applications.
Allowable budget increases in- grant renewals are capped. For
applications requesting 5 years of support, the average annual direct costs
requested may not exceed an amount 50 percent greater than that
committed or proved by' the NCT in the previous 12 months fusing the first
renewal Year as the base).
However, normal increases for personnel,
supplies, and other expenses may be requested in future years. For
example, if a grant has a current level of $1 million direct costs in the -05
year, a renewal application requesting 5 years of support must average no
more than $'1.5 million per year using the -06 year as the base, i.e.,
inflationary increases for personnel, supplies, and other expenses may be
added in years -07 to -10. Renewal applications requesting less than 5 years
of support are limited to an increase of 10 percent per year.
NCT also caps the proportion of a grant that can be used to support
staff investigators. New applicants can request no more than 10 percent for
staff investigators. In the case of renewal applications, if the current salary
support exceeds 25 percent of direct costs the renewal request is limited to
the current amount and must include a plan to reach the 25 percent level.
If the current level of staff' investigator support is less than 25 percent, the
renewal may request either 25 percent of direct costs of current grant or the
current level plus an increase of no more than 10 percent of the renewal
application ceiling, whichever is less.
Allowable Periods of Support
New applicants can request support for up to 3 years and applicants
for grant renewals may request up to 5 years of support.
,
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Review Procedures and Criteria
Cancer center core grants, coded as "P-30" grants by NCI, undergo
the same procedures as other grant mechanisms at NTH. They are awarded
only after undergoing initial scientific "peer review" by a committee of
scientists and final review and recommendation for approval by the National
Cancer Advisory Board (NCAB). Final funding decisions are made by NCT
for those applications approved by the NCAB. Figure A2 provides a
schematic view of the NCT grants process.
Current Review Procedures
Current review procedures are described In Guidelines for Review of
Cancer Center Support Grants (~1984), Guidelines: Consortium Cancer Center
Support Grant (-f987), and Guidelines: Cancer Center Support Grant (1988),
which are available from NCI.
All grant applications to NTH are submitted to the Division of
. .
Research Grants. Core grant applications are then sent to the Division of
Extramural Activities of NCT, where the- Cancer Center Support Grant
Review Committee is responsible for the scientific (peer) review of the
applications.
.q
. . .. . . . .
Following receipt of an application, a site visit is arranged. The site
visit is conducted by representatives of the review committee and by
consultants selected for their expertise in the research areas conducted by
the applicant. After the visit, the site visit team assesses the relative level of
scientific merit of the application, and recommends approval or disapproval.
The application and site visit report are submitted to the core grant
review committee, which meets three times per year to review applications.
The review is led by the committee members who were on the site visit.
After the review, the committee votes for approval or disapproval. In the
case of approval, a priority score is assigned. The recommendations of the
renew committee and the priority score (if approved) are presented to the
NCAB for final review and recommendation to NCI.
While review by the core grant review committee is the usual
procedure, an initial review is conducted by an ad hoc group in the case of
35
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FIGURE A2 National Cancer Institute Grants Process
NC!
GRANTS PROCESS
act;:,
/ ~ RESEARCH
. ~ ~ \ _
INMATES I ~ \
RESEARCH IDEA I
AND PREPARES I
APPucAnoN I I~TIGATOR
NIH DIVISION OF
RESEARCH GRANTS
ASSIGNS TO STUDY
SECTION AND
INSl=]l-E
| MANAGES
I FUNDS
~ — . \\
—\ \
//
| SUBM~S
I APPUCAnON
7~
// N`UlONALINSmUTESOF HEALTH \ \
// \\
NCI MAKES
FUNDING
_ SELECTIONS AND
ISSUES GRANT
l AWARDS
GRANTEE
INITIAL REVIEW
GROUP
(NCI OR DRG)
EVALUATES FOR
SCIENTIFIC MERIT
NCI EVALUATES
PROGRAM
RELEVANCE AND
NEED
NATIONAL CANCER
ADVISORY BOARD
RECOMMENDS
ACTION
SOURCE: Leo F. Buscher, Jr., National Cancer Insi'tute Grants Process.
NIH Publication No. 86-1222. Washington, D.C.: Department of Health
and Human Services, 1986.
consortium grants. Since the purpose of the consortium grant program is to
stimulate development of research in cancer control within a defined region,
it was not felt that the existing review committee had the appropriate
expertise. With consortium grant applications, the ad hoc committee
conducts the site visit, recommends approval or disapproval, and assigns a
priority score (if the recommendation is for approval) at the time of the site
visit. The report of the ad hoc review committee is submitted directly to the
NCAB.
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In summary, the core grant review process normally includes: (~) an
initial examination of the technical adequacy and completeness of the
application by NCT program staff and review staff, (2) a site visit by a team
of review committee members and expert consultants, (3) review of the
application by the core grant review committee, and finally, (4) secondary
renew by the NCAB. According to the 1984 Guidelines for Review of
Cancer Center Support Grants, "the core grant application review process
focuses on the ability of the proposed program to consolidate disparate
and/or scattered cancer-reiated research activities into an effective,
integrated, and productive cancer center."
Criteria
Core grant applications are reviewed within the context of their ability
to "foster and support the development of multidisciplinary programs in
laboratory and clinical cancer research....tA] core grant is designed to
support those activities that wall consolidate and focus cancer-related
research efforts in a ingle administrative and programmatic structure....The
core grant provides funds for the salaries of selected staff, for the operation
of centralized, shared resources and services, and for the administration of
the center."
The site visitors and the review committee use the following criteria
in assessing the applications:
o interdisciplinary coordination.
O organizational capabilities and facilities.
O qualifications and authority of the director.
commitment of parent institutions.
o
o
impact of the center on the focus of cancer-related research
(the sum is greater than the parts).
procedures for evaluation.
O need for and quality of shared resources.
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0 need for and quality of personnel to be supported.
O need for developmental funds requested.
O..
quality of protocols for clinical research projects (not peer
reviewed) that will use the resources.
The review criteria for consortium grants are essentially the same'
except that the focus of the core support is an interinstitutional program to
facilitate research in cancer control.
38
Representative terms from entire chapter:
shared resources
