# Presentation: 680239

## Fiscal and Administrative Management

**Fiscal and Administrative Management**

- Susan Ricci
*Grants Management Specialist*

**US Department of Health and Human Services**
**National Institutes of Health**
**National Institute of Environmental Health Sciences **

**SBRP Applicant Information Meeting **
**October 29, 2003**
- Research Triangle Park
- North Carolina

## Objectives

**Examine SBRP Specific Budget Requirements**
**Review New NIH Policy/Requirements**
**Get Pointed in the Right Direction**

##     The Big Picture

**Approximately 8-10 grants will be funded**
**Anticipated Start Date:****April 1, 2005**

**    ****The Big Picture**

## Maximum Budget

**Maximum Budget**

**$2.1**** million direct costs:**
**does *****NOT***** include third party F&A**
**3%**** escalation of *****recurring***** direct costs per out-year **

**Consideration of *****equipment***** in the out-years will be based upon justification and availability of funds**

**Notes:**
Equipment costs in the out-years will be based on the justification submitted, along with the availability of funds. It will be examined closely. Adding huge amounts of equipment, or other non-recurring costs, will not be a way to circumvent the 3% escalation. We expect the budget in the outyears to come in very close to the 3% escalation when non-recurring costs are requested.
2.1,  2.163,  2.228,  2.363 and so on

## 			Non-Modular

**Provide detailed categorical budgets**
-  Each Project
-  Each Core
-  Each 3rd Party Participant
**ALL Budgets should be together in Part 1 ****of the application**
**ALL Budget Pages should be labeled**

**Notes:**
3rd Party participant budget pages should immediately follow the project or core that it supports. Please label clearly.

## NIEHS/EPA SBRP is...

**NIEHS/EPA SBRP is...**

**Project 1**

**Project 2**

**Core A**

**122,000**

**23,000**

**145,000**

**250,000   **

**55,000**

**305,000**

**Matisse, G**

**467,000**

**  ****93,000**

**560,000**

**Project 1 – 15,000**

**Project 2 – 10,000**

**  ****25,000**

**COMPOSITE BUDGET**

**95,000   **

**15,000   **

**110,000   **

**Project 1 – 60,000**

**Project 2 – 30,000**

**Core A – 10,000**

**  ****100,000**

## NIEHS/EPA SBRP is...

**Matisse, G**

**Cassatt, H**

**O’Keefe, M**

**60,000**

**12,000**

**72,000**

**36,000   **

**6,000**

**42,000**

**Matisse, G**

**122,000**

**  ****23,000**

**145,000**

**Blumberg Assoc – 15,000**

**  ****15,000**

**Individual Budget**

**26,000   **

**5,000   **

**31,000   **

**Centrifuge – 25,000**

**HPLC- 35,000**

**  ****60,000**

**PI**

- Project 1

**12**

**40**

**150,000**

**Sr. Tech**

**12**

**80**

**45,000**

**Post-doc**

**12**

**100**

**26,000**

## Budget: Travel Requirements

**Annual Meeting:**
***Administrative Core Budget:***
- PI, Business Manager, 3 students
***Outreach Core Budget:***
- Core Leader
***Research Translational Core Budget:***
- Core Leader

**Notes:**
The Only Required Travel is travel to the Annual Meeting

## Core Budget Caps

**Community Outreach Core****$100,000**** direct costs**
**Training Core****6%**** of total budget**
- 	Budget could include:- Core leader and staff- Expenses associated with core- Student support

## Training

**Pre- and Post-Doctoral Students:**
**Must be employees of the institution**
**May be part of the training core, a project or core, or both, *****but only supported by one***
**Subject to Student Compensation Cap**

## Training

- http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-03-036.html

**Training**

**Notes:**
Current level of student compensation is $34,200   Salary, wages, tuition remission

## Training Budget Considerations

-  Include trainee’s financial support in the budget for the appropriate project
-  Indicate that this individual is part of the Training Core
-  List the trainee in the Training Core.
-  Indicate that this individual’s support is included in project ‘x’
- Trainee not participating in Research Project or Core
-  Include trainee’s financial support in the Training Core
-  Indicate that the trainee is not part of a Research Project or Core

**Training Budget Considerations**

## Funding Considerations

** ****Availability of funds**
** ****Technical merit**
** ****Programmatic Balance**

**Awards up to 5 years**

**Funding Considerations**

## 	Eligible Institutions

**Encouraged to collaborate with others**
** ****Foreign Institutions**
** ****State and Local Governments**
** ****Non-Profit Organizations**
** ****For- Profit Organizations**
** ****Other Academic Institutions**

**	****Eligible Institutions**

## Budget Justifications

**Be detailed and specific**

- Is the amount of escalation requested supported by institutional policies? Is the amount clearly stated?
- Are all costs itemized?
- Are all additions and changes in future years fully justified?
- Are all time and effort percentages >0?

**You cannot be *****too***** detailed**

**Notes:**
Be sure to indicate when and where additional personnel will be added in the outyears.
Show the current year institutional base salary and fringe rate.
Justify the work that will be done

## Face Page (PHS 398)

**Notes:**
Now we will look at NIH policy and procedure changes that have occurred since your last Superfund application
As Stated in the RFA and in the 398 instructions....

## Face Page (PHS 398), cont.

**Face Page (PHS 398), cont.**

**Notes:**
Very easy to obtain a DUNS number. All information is provided here.

## Just-in-Time

-  IACUC Approval
-  IRB Approval

**Just-in-Time**

**	****	****Begin process for approvals early--**
**Awards could be significantly delayed**

*	**  *_*More on Other Support Later!*_

-  Other Support

## Budget Categories

**Personnel Considerations**

** ****What types of appointment do the participants have?**** **
** ****What is their effort on the project?****  *****MUST be more than 0%***
** ****Has the appropriate institutional base salary been included?****  *****Show the current institutional base salary for all ******	******employees******  including those that are starting work in future years***
** ****Is the salary requested consistent with the time and effort?**** **
** ****Is a justification and description included for each individual’s****  role in the project?**
** ****Are there any to-be-named positions?**

## 	Additional Personnel Considerations

**Notes:**
Current salary cap is $171,900

## Consultant Considerations

**Who are the consultants and what institutions are they affiliated with?**
**What portions of the project require advice from consultants?**
**Does the application include letters of commitment from consultants?**
**Are the Fees,Travel, and Per Diem costs broken down?**

**Budget Categories**

## Equipment Considerations

**Has a survey of available equipment been conducted prior to requesting in the application?**
**Are equipment items available in nearby laboratories which could be shared?**
**Is it more economical to rent any of the items rather than purchase them?**

***Consideration of equipment in the out-years will be based upon justification and budget availability***

**Budget Categories**

**Notes:**
2.1	2.163   2.228   2.363  etc			

## Supply Considerations

**Are the major subcategories of supplies identified, such as animals, chemicals, and glassware?**
**Where applicable, are unit prices shown?**
**How have any usage rates been determined?**
**Does any justification match the amounts indicated elsewhere in the application?**

**Budget Categories**

## Travel Considerations

**Is the amount requested and reason for the anticipated travel consistent with the research project and appropriate for the effort devoted by the Principal Investigator?**
**Is a special justification included for any foreign travel?**
**Does the justification demonstrate a direct benefit to the project?**

**Budget Categories**

## Other Support

**	****	****   ****NIH Policy states that a specific****	****	****   percentage must be provided**
**http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-03-054.html**
**“****0%”, “Varies”, “As Needed”, etc., are not acceptable**
**Total percentage *****cannot *****equal more than 100%**

## Helpful Web Sites

- Superfund RFA and Guidelines:
**http://www-apps.niehs.nih.gov/sbrp/rfa/**
- PHS 398 Instructions:
**http://grants1.nih.gov/grants/funding/phs398/phs398.html**
- Other Support:
**http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-03-054.html**
- Student Compensation:
**http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-03-036.html**
**http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-02-017.html**
- Salary Cap:
**http://grants1.nih.gov/grants/guidance/guide/notice-files/NOT-OD-03-034.html**

## Fiscal and Administrative Issues

**Susan Ricci**
**Grants Management Specialist**
**(919) 316-4666**
**ricci@niehs.nih.gov**