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TOPICS OF DISCUSSION

1. Starting the process

2. Types of budgets

3. Electronic submission

4. Budget submission errors

5. Pre-award

6. Post-award

7. Closeout

STARTING THE PROCESS

Applications submitted to the NIH must be in response to a Funding Opportunity Announcement (FOA).

Carefully read the FOA. Information in the FOA should be reflected in the application such as:

1. Period of support (number of years for support)

2. Dollar limit of support (for example $100,000 TC or $100,000 DC)

3. Salary cap level (currently $183,300); NOT-OD-15-049

4. Type of budget submission (modular or categorical)

5. Submit the application by the prescribed due date

TYPES OF BUDGETS

Modular vs Categorical (non-modular)

Beginning June 1, 1999 modular grant applications and award procedures were applicable to all competing individual research project grants (R01), small grants (R03), and exploratory/developmental grants (R21) for requests of $250,000 or less. Modular grant applications have expanded to many different mechanisms.

Modular budgets: Grant applications with a budget request (direct costs) of $250,000 or less. Request are submitted in modules of $25,000.

Categorical budgets: Grant applications with a budget request of $250,000 or more. Actual costs are requested in the appropriate category.

TYPES OF BUDGETS

Applications requesting more than $500,000 direct costs must have permission from the awarding institute to submit an application. Facilities and administrative (F&A) or indirect costs (IDC) are excluded from consortia costs.

Program Specific Budgets:

Small Business Innovation Research Awards /Small Business Technology Transfer (SBIR/STTR)—R41, R42, R43, R44

Ruth L. Kirschstein National Research Service Awards (Fellowships and Training)

Research Career Development Awards---K awards

ELECTRONIC SUBMISSIONS

All competing applications use the electronic process, SF424 to submit grant applications. Also, this includes multi-project proposals.

http://www.grants.nih.gov/grants/guide/notice-files/NOT-OD-13-075.html

COMMON BUDGET SUBMISSION ERRORS

1. Exceeding FOA budget amount2. Budget exceeds $500,000 and did not request permission

to submit request3. Modular budget request did not request F&A for consortia4. Costs in budget differ from justification5. Salaries exceeds the NIH salary cap6. Calendar months effort does not equate to the requested

salary7. Miscalculation of F&A8. Used a modular budget when a categorical budget was

appropriate9. Waiting until the last minute to contact NIH on budget

clarification questions

PRE-AWARD COSTS

What are pre-award costs? Any cost incurred prior to the beginning date of the project period or the initial budget period of a competitive segment (under a multi-year award), in anticipation of the award and at the applicant's own risk, for otherwise allowable costs (NIH Policy Statement).

NIH allows up to 90 days of pre-award costs prior to the start date of a competitive (Type 1 or Type 2) award. Costs starting at 91 days or greater require NIH approval.

Pre-award costs are incurred at the grantees own risk and expense.

POST-AWARD ACTIONS

1. Read the terms and conditions

2. Verify budget request along with the funding institute funding policy (administrative reductions)

3. If funds are restricted, adhere to the restriction and comply with the needed documents in order to rescind the restriction

4. Follow the funding regulations and policies. If not it could result in unallowable costs and having to reimburse the NIH/Federal government

5. If you have questions, contact the Grants Management Specialist---we are here to help!!!!!

CLOSEOUT

What is closeout? Closeout is process by which a Federal awarding agency determines that all applicable administrative actions and all required work under an award have been completed by the grantee and the Federal awarding agency.

Why is closeout so important? This is the process in which federal awarding agencies collect the undispersed funds, review the final progress reports for completion of the project and to ensure that inventions are reported.

The Uniformed Grants Guidance has increased the reporting due dates from 90 days to 120 days.

CLOSEOUT

The policy chapter directs OPDIVs to initiate “Unilateral closeout” (closeout without the operation of the grantee) 180 days after the project end date if it has not received acceptable final reports required by the terms and conditions of an award, after making reasonable efforts to obtain them. OPDIVs must close all awards no later than 270 days after the project end date.

The Grants Policy and Administration Manual (GPAM) Chapter 1101 requires that the Chief Grants Management Officer (CGMO) consider taking one or more enforcement actions in addition to unilateral closeout. If an enforcement action is taken, or a future action is planned, it must be documented in the ICs grant file.

TIPS

1. Read the FOA

2. Read the terms and conditions

3. Understand the requirements of the funding that is being requested (SBIR, budget limitations, etc)

4. Submit the correct budget format (modular/categorical)

5. Avoid budget submission errors

6. Understand pre-award costs (what’s allowable)

7. Manage the award appropriately

8. Submit closeout documents in a timely manner

9. Ask questions

REFERENCES

SF424 (R&R) Application and Electronic Submission

https://grants.nih.gov/grants/funding/424

http://grants.nih.gov/grants/guide/notice-files/NOT-OD-13-075.html

NIH Modular Research Grant Applications

http://grants.nih.gov/grants/policy/nihgps_2013/nihgps_ch13.htm

http://grants.nih.gov/grants/funding/modular/modular.htm

Salary Cap Limitation

http://grants.nih.gov/grants/guide/notice-files/NOT-OD-15-049.html

NIH Grants Policy Statement

http://grants.nih.gov/grants/policy/nihgps_2013/

QUESTIONS

THANK YOU FOR YOUR TIME

Tijuanna E. DeCoster, Ph.D., MPA

Chief Grants Management Officer

Certified Grants Manager (CGMS)

National Institute of Neurological Disorders and Stroke

Branch Phone Number: 301-496-9231

Fax Number: 301-402-0219