Grants Management

1
Grants Management

• Usha Ganti, Acting Grants Management Officer
• Phone [phone]
• E-mail address gantiu_at_od.nih.gov

2
Overview

• Highlights of Mechanisms
• Standard Forms
• Budget Preparation
• Reporting Requirements
• Closeout Requirements
• Useful Tips

3
Highlights of Mechanisms

• Developmental Programs of Excellence (R24)
• Resources-Related Projects
• Support research projects that will enhance the
  capability of institutional resources to serve
  biomedical research
• Focus is on minority health and health
  disparities research
• Support feasibility studies, development of
  research questions, pilot research projects
• Promote innovative partnerships

4
Highlights of Mechanisms (continued)

• Exploratory Grants (P20)
• Support planning for new programs
• Expansion or modification of existing resources
• Feasibility studies to explore various approaches
  to development of interdisciplinary programs
• Prelude to centers

5
Highlights of Mechanisms (continued)

• Comprehensive Center (P60)
• Supports multipurpose program consisting of
  cores, research projects, research training,
  education and community-based outreach
• Institutional award usually for five (5) years
• Objectives
• Foster biomedical research and development at
  both the fundamental and clinical levels
• Initiate and expand community education,
  screening and counseling programs
• Educate medical and allied health professionals
  concerning the problems of diagnosis and
  treatment of a specific disease

6
Highlights of Mechanisms (continued)

• Advantages
• Meet specific needs of field (ex resources,
  research, both)
• Support activities that facilitate translation of
  knowledge into medical practice
• Accommodate needs of large, long-term, clinical
  trials

7
Standard Forms

• Competing Public Health Service Grant
  Application Kit (PHS 398)
• Revised 5/2001
• URL for Application Kits and the Instructions
• http//odoerdb2.od.nih.gov/gmac/sources/sources.ht
  mlapplications
• Supplemental Instructions for the RFAs
• Mailing
• Face Page

8
Grant Application PHS 398 Face Page

• Project Title
• RFA and Title
• RFA Label
• Direct and Total Costs
• Human Subjects
• Vertebrate Animals
• Signatures

PROJECT EXPORT
9
Standard Forms (continued)

• Complementary Applications (In the case of
  two-member partnerships, need to pay special
  attention to special instructions)
• Mailing (must be mailed together)
• Face Page
• Titles (project titles on both complementary
  applications must be identical)
• Direct and Total Costs (items 7a, 7b, 8a, 8b of
  the Face Page)

10
Budget Preparation

• Budget Components
• Individual Budget Components (Projects and Cores)
• Consortium/Contractual Costs
• Composite Budget
• Features Costs (specific to RFAs)
• Budget Justification

11
Application Budget Components Applicant
Proposes No Subcontractor
Example 1
12
Budget Components (continued)

• Individual Budget Components (Projects and Cores)
• Detailed Budget for Initial Budget Period (Form
  Page 4) includes direct costs only
• Each individual project and core must submit a
  detailed budget for the initial budget period in
  each category

13
Individual Detailed Budget for Initial Budget
Period PHS 398 Form Page 4

• Personnel Costs
• Name
• Role
• Type
• Effort
• Inst. Base Salary
• Salary Requested
• Fringe Benefits
• Total
• Equipment
• Supplies

PROJECT EXPORT
14
Budget Components (continued)

• Individual Budget Components (Projects and Cores)
• Budget for Entire Proposed Period of Support
  (Form Page 5) includes direct costs only
• Each individual project and core must submit a
  budget for the entire proposed period of support
  in each category for each year
• Indicate standard escalation used in calculating
  budget figures
• Identify any significant increases and decreases
  from the initial budget period with an asterisk
  () and fully justify these items in the budget
  justification section

15
Individual Budget for Entire Proposed Period PHS
398 Form Page 5

• Personnel Costs
• Total Directs in each year
• Travel Costs
• Total Directs in each year

PROJECT EXPORT
16
Application Budget Components Applicant
Proposes Subcontracting Arrangement (Stand-alone
Subcontract)
Example 2
17
Budget Components (continued)

• Consortium/Contractual Costs (Stand-alone
  Subcontract)
• Each participating consortium/contractual
  organization must submit a separate detailed
  budget for both the initial budget period and the
  entire proposed project period
• Must use Form Pages 4 and 5
• Must include facilities and administrative costs
  (requested) in the FA Costs category for each
  Consortium
• Total direct and FA costs of sub-awardee must be
  shown under the Consortium/Contractual Costs
  category of the composite budgets

18
Consortium (Stand-alone Subcontract) Detailed
Budget for Initial Budget Period PHS 398 Form
Page 4

• Personnel Costs
• Name
• Role
• Type
• Effort
• Inst. Base Salary
• Salary Requested
• Fringe Benefits
• Total
• Equipment
• Supplies
• Consortium Costs
• Facilities Admin. (FA)

PROJECT EXPORT
19
Consortium (Stand-alone Subcontract) Budget for
Entire Proposed Period PHS 398 Form Page 5

• Personnel Costs
• Total Directs in each year
• Travel Costs
• Total Directs in each year
• Consortium Costs
• Total FA in each year

PROJECT EXPORT
20
Application Budget Components Applicant
Proposes a Sub-Sub Arrangement
Example 3
21
Budget Components (continued)

• Consortium/Contractual Costs (sub-sub awardee, if
  applicable)
• Each participating consortium/contractual
  organization must submit a separate detailed
  budget for both the initial budget period and the
  entire proposed project period
• Must use Form Pages 4 and 5
• Must include facilities and administrative costs
  (requested) in the FA Costs category for each
  sub-sub awardee
• Total direct and FA costs of sub-sub awardee
  must be shown under Consortium/Contractual
  Costs category of the appropriate individual
  core budget, and the detailed sub-sub awardee
  budgets (initial and entire proposed period)
  should follow the appropriate core budget

22
Individual (Project 2 Stand-alone Subcontract)
Detailed Budget for Initial Budget Period PHS 398
Form Page 4

• Personnel Costs
• Name
• Role
• Type
• Effort
• Inst. Base Salary
• Salary Requested
• Fringe Benefits
• Total
• Equipment
• Supplies
• Consortium Costs (Sub-sub)
• Direct Costs (DC)
• Facilities and Admin.
• (FA)

PROJECT EXPORT
23
Individual (Project 2 Stand-alone Subcontract)
Budget for Entire Proposed Period PHS 398 Form
Page 5

• Personnel Costs
• Total Directs in each year
• Travel Costs
• Total Directs in each year
• Consortium Costs (Sub-sub)
• Total Direct Costs in each year
• Total FA in each year

PROJECT EXPORT
24
Budget Components (continued)

• Composite Budgets
• Detailed Budget for Initial Budget Period (Form
  Page 4) includes direct costs only
• List name/number of each project and core for
  each category
• List total direct costs requested for the initial
  budget period in each category for those projects
  and cores
• Note Consortium/Contractual costs (direct and
  FA costs listed separately) should be shown in
  the Consortium/Contractual Category only. For
  example, if Core 2 is a consortium, these costs
  should be listed in this category individually
  as opposed to including them in other
  categories.

25
Composite Budget for Initial Budget Period PHS
398 Form Page 4

• Personnel Costs
• Project 1
• Project 2
• Admin Core
• Salary
• Fringe Benefits
• Totals
• Consortium Costs
• Project 2 DC
• Project 2 FA

PROJECT EXPORT
26
Budget Components (continued)

• Composite Budgets (continued)
• Budget for Entire Proposed Period (Form Page 5)
  (direct costs only)
• List total direct costs requested in each
  category (sum of all projects and cores in each
  year
• Note Consortium/Contractual costs (total direct
  and FA costs) should be shown in the
  Consortium/Contractual Costs category only. For
  example, if Core 2 is a consortium, total direct
  costs and total FA costs (on a separate line)
  should be shown here as opposed to including them
  in other categories.

27
Composite Budget for Entire Proposed Period PHS
398 Form Page 5

• Personnel Costs
• Sum of all projects and cores in each year
• Consortium Costs (Sum of All consortiums)
• Total Directs Costs
• Total FA Costs

PROJECT EXPORT
28
Applicant Budget Components Complimentary
Applications
Example 4
29
Budget components (continued)

• Features Costs (specific to RFAs)
• Developmental Programs of Excellence (R24)
• One-time solicitation
• Provide support up to 3 years
• Not renewable
• Must contain minimum of 4 and maximum of 5
  components (Education Component does not count
  towards the total)
• Will be awarded directly to the applicant
  organization and are not transferable

30
Budget components (continued)

• Features Costs (specific to RFAs) (continued)
• Developmental Programs of Excellence (R24)
  (continued)
• Allowable Costs
• 350,000 maximum allowable total costs per year
• In the case of two-member partnerships, total
  costs for both applications together cannot
  exceed 350,000 per year
• In the case of a third party subcontract, only
  direct costs of the subcontract count towards
  this maximum amount of 350,000 total costs per
  year cap
• Up to 50,000 can be used for alterations and
  renovations
• Travel costs to participate in the NCMHD
  sponsored annual meeting

31
Budget components (continued)

• Features Costs (specific to RFAs) (continued)
• Developmental Programs of Excellence (R24)
  (continued)
• Unallowable Costs
• Funds awarded may not be used for new
  construction projects
• Not eligible to receive endowment funds
• May not apply for competitive administrative
  supplements
• For standard allowable and unallowable costs,
  refer to NIH Grants Policy Statement (Rev.
  03/2001)
• http//odoerdb2.od.nih.gov/gmac/nihgps_2001/nihgps
  _2001.pdf

32
Budget Components (continued)

• Features Costs (specific to RFAs) (continued)
• Exploratory Grants (P20)
• Provide support up to 5 years
• Must contain minimum of 5 and maximum of 10
  components including a pilot project component.
  At least 3 out of 10 must be research components
  (education component does not count towards the
  total)
• Allowable Costs
• 1.5 million maximum allowable total costs per
  year
• In the case of two-member partnerships, total
  costs for both applications together cannot
  exceed 1.5 million per year

33
Budget Components (continued)

• Features Costs (specific to RFAs) (continued)
• Exploratory Grants (P20) (continued)
• Allowable Costs
• In the case of a third party subcontract, only
  direct costs of the subcontract count towards
  this maximum amount of 1.5 million total costs
  per year cap
• Eligible for endowment funds
• Must be in the second year of its project period
  (check RFA guidelines for other eligibility
  requirements)
• Endowment funds are awarded as supplements
  through Endowment Funding mechanisms
• Up to 200,000 per year may be used for
  alterations and renovations

34
Budget Components (continued)

• Features Costs (specific to RFAs) (continued)
• Exploratory Grants (P20) (continued)
• Allowable Costs
• May apply for competitive administrative
  supplements
• Must have minimum of 3 years of funding support
  remaining on the project (for additional
  requirements, check RFA guidelines)
• Travel costs to participate in the NCMHD
  sponsored annual meeting
• For standard allowable and unallowable costs,
  refer to NIH Grants Policy Statement (Rev.
  03/2001)
• http//odoerdb2.od.nih.gov/gmac/nihgps_2001/nihgp
  s_2001.pdf

35
Budget Components (continued)

• Features Costs (specific to RFAs) (continued)
• Comprehensive Centers (P60)
• Provide support up to 5 years
• Must contain minimum of 5 and maximum of 10
  components including a pilot project component
  (at least 3 out of 10 must be research
  components). Education Component does not count
  towards the total.
• Allowable Costs
• 1.2 million maximum allowable total costs per
  year
• In the case of two-member partnerships, total
  costs for both applications together cannot
  exceed 1.2 million per year

36
Budget Components (continued)

• Features Costs (specific to RFAs) (continued)
• Comprehensive Centers (P60) (continued)
• Allowable Costs
• In the case of a third party subcontract, only
  direct costs of the subcontract count towards
  this maximum amount of 1.2 million total costs
  per year cap
• Eligible for endowment funds
• Must be in the second year of its project period
  (check RFA guidelines for other eligibility
  requirements)
• Endowment funds are awarded as supplements
  through Endowment Funding mechanisms
• Up to 200,000 per year may be used for
  alterations and renovations

37
Budget Components (continued)

• Features Costs (specific to RFAs) (continued)
• Comprehensive Centers (P60) (continued)
• Allowable Costs
• Eligible to apply for competitive administrative
  supplements
• Must have minimum of 3 years of funding support
  remaining on the project (for additional
  requirements, check RFA guidelines)
• Travel costs to participate in the NCMHD
  sponsored annual meeting
• For standard allowable and unallowable costs,
  refer to NIH Grants Policy Statement (Rev.
  03/2001)
• http//odoerdb2.od.nih.gov/gmac/nihgps_2001/nihgp
  s_2001.pdf

38
Budget Components (continued)

• Budget Justification
• Personnel Provide budget narrative for ALL
  personnel by position, role, and level of effort
• Consultants
• Even if no involved, list names and
  affiliations of all, other than those involved in
  consortium/contractual arrangements
• Include total number of days of anticipated
  consultation, the expected rate, travel, per
  diem, and other related costs
• Describe services to be performed by each in
  Budget Justification

39
Budget Components (continued)

• Budget Justification (continued)
• Equipment
• Justify each piece
• Supplies
• Itemize them into categories and provide
  justification for items that cost more than
  1,000.
• Travel Itemize requests. Provide purpose and
  destination of each trip and the number of
  individuals for whom funds are requested (not
  including consultants-see above)

40
Budget Components (continued)

• Budget Justification (continued)
• Patient Care Costs
• Provide names of any hospitals and/or clinics and
  the amounts requested for each
• of patient days, estimated cost per day, and
  cost per test or treatment
• If both inpatient and outpatient costs are
  requested, provide information for each
  separately
• If multiple sites, provide detailed information
  by site

41
Budget Components (continued)

• Budget Justification (continued)
• Other sources of support for patient care costs,
  e.g., third party recovery or pharmaceutical
  companies, utilization of General Clinical
  Research Centers
• Alterations and Renovations
• Explain need for each category itemized in budget
• Where applicable, provide the square footage and
  costs
• Other expenses
• Justify each item

42
Budget Components (continued)

• Budget Justification (continued)
• Note
• For all categories mentioned in the last few
  slides, indicate standard escalation used in
  calculating budget figures
• Identify any significant increases and decreases
  from the initial budget period with an asterisk
  () and fully justify these items in the budget
  justification section

43
Reporting Requirements

• Submission of an Annual Grant Progress Report
  (PHS 2590)
• Scientific progress
• As in competing segment, in addition to a
  composite budget, detailed budgets must be
  submitted for each research component and core
  unit
• Cash Transaction Reports (PHS 272)
• Financial Status Reports (FSR) (SF-269)

44
Closeout Requirements

• Final Progress Report
• Final FSR (SF-269)
• Final Invention Statement (HHS 568)
• URL to obtain standard forms and instructions
• http//odoerdb2.od.nih.gov/gmac/sources/sources.ht
  mlapplications

45
Useful Tips

• Bookmark URLs provided for your assistance
• In preparing your grant applications, refer to
  Instructions that are available online along with
  the forms
• For specific instructions (submission of
  application, allowable and unallowable
  costs,etc.), refer to individual RFA and
  supplemental guidelines
• For standard allowable and unallowable costs,
  refer to NIH Grants Policy Statement (Rev.
  03/2001)
• http//odoerdb2.od.nih.gov/gmac/nihgps_2001/nihgp
  s_2001.pdf
• Complete all items on the Face Page of the
  application

46
Useful Tips (continued)

• Fully justify all budget items
• Respond quickly to requests for information from
  NCMHD staff
• Be sure that all the documents sent to NCMHD
  staff have appropriate signatures (Principal
  Investigator and authorized Business Official)
• Principal Investigators and Business Officials
  should develop close working relationships
• Complete all items on the Checklist submitted
  with the application

47
Checklist Page PHS 398 Form

• FA Costs
• Agreement Date
• Base
• Rate
• Total FA Costs

PROJECT EXPORT
48
Questions
When?
Forms
Exit Door?

Grant
RFA
Process