# Presentation: 428991

## Grants Management

**Usha Ganti, Acting Grants Management Officer**
**Phone:** (301) 594-8950
**E-mail address:** gantiu@od.nih.gov

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

- Standard Forms
- Budget Preparation
- Reporting Requirements
- Closeout Requirements
- Useful Tips

**Overview:**** **

## 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

## 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

## 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

## 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

## 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.html#applications
- Supplemental Instructions for the RFAs
- Mailing
- Face Page

## Grant Application 

***PROJECT EXPORT***

**Grant Application **
**PHS 398 Face Page**

-  **Project Title**
** ****RFA # and Title**
** ****RFA Label**
** ****Direct and Total Costs**
** ****Human Subjects**
** ****Vertebrate Animals**
** ****Signatures**

## 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)

## Budget Preparation

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

## Application Budget Components:  Applicant Proposes No Subcontractor

**Example 1**

## 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

## Individual Detailed Budget for Initial Budget Period

***PROJECT EXPORT***

**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**

## 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

## Individual Budget for Entire Proposed Period

***PROJECT EXPORT***

**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

## Application Budget Components:  Applicant Proposes Subcontracting Arrangement (Stand-alone Subcontract)

**Example 2**

## 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 F&A Costs category for each Consortium
- Total direct and F&A costs of sub-awardee must be shown under the “Consortium/Contractual Costs” category of the composite budgets

## Consortium (Stand-alone Subcontract) Detailed Budget for Initial Budget Period

***PROJECT EXPORT***

**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. (F&A)

## Consortium (Stand-alone Subcontract) Budget for Entire Proposed Period

***PROJECT EXPORT***

**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 F&A in each year

## Application Budget Components:  Applicant Proposes a Sub-Sub Arrangement

**Example 3**

## 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 F&A Costs category for each sub-sub awardee
- Total direct and F&A 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

## Individual (Project 2 Stand-alone Subcontract) Detailed Budget for Initial Budget Period

***PROJECT EXPORT***

**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.
-    (F&A)

## Individual (Project 2 Stand-alone Subcontract) Budget for Entire Proposed Period

***PROJECT EXPORT***

**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 F&A in each year

## 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 F&A 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.

## Composite Budget for Initial Budget Period

***PROJECT EXPORT***

** ****Personnel Costs**
- Project – 1
- Project – 2
- Admin Core
- Salary
- Fringe Benefits
- Totals
** ****Consortium Costs**
- Project 2 DC
- Project 2 F&A

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

## 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 F&A costs) should be shown      in the Consortium/Contractual Costs category only.  For example, if Core 2 is a consortium, total direct costs and total F&A costs (on a separate line) should be shown here as opposed to including them in other categories.

## Composite Budget for Entire Proposed Period

***PROJECT EXPORT***

**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 F&A Costs

## Applicant Budget Components: Complimentary Applications

**Example 4**

## 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

## 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

## 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

## 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

## 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

## 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/nihgps_2001.pdf

## 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

## 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

## 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/nihgps_2001.pdf

## 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

## 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)

## 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

## 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

## 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

## 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)

## 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.html#applications

## 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/nihgps_2001.pdf
- Complete all items on the Face Page of the application

## 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

## Checklist Page 

***PROJECT EXPORT***

**Checklist Page **
**PHS 398 Form **

** ****F&A Costs**
- Agreement Date
- Base
- Rate
- Total F&A Costs

## Questions   

**Grant**

**Exit Door?**

**Process**

**When?**

**Forms**

**RFA**