Transcript Definition and Background of Modular Grants

National Institutes of Health
Modular Grants
Proposal Preparation and
Award Administration
Presented by UCLA’s Office of
Sponsored Research
Linda White, Grant Analyst
Nancy Daneau, Contract and
Grant Officer
Rationale for Modular Grants
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Peer review team to focus on scientific merit of
applications rather than administrative aspects
(budget, management of funds, etc.)
Reduce certain aspects of proposal preparation
and submission to just in time (JIT)--once
decision to make an award has been made
Reduce length of “receipt to award” cycle from
10 months to 6 months
Streamlined modular process under 3-year
evaluation
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Year 1 open for public comment
Years 2&3 to undergo extensive evaluation
Applicable to:
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R01, Research project grant applications
R03, Small grants
R15, Academic Research Enhancement Awards
R21, Exploratory/Developmental grants
R41, Small Business Innovation Research GrantsPhase I
R43, Small Business Technology Transfer GrantsPhase I
Defining Characteristics of
Modular Grants
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Effective with 6/1/99 submission deadline
For solicited and unsolicited (investigatorinitiated) grant proposals to NIH Institutes where
direct costs for project do not exceed $250,000
annually
Direct costs requested in modules of $25,000 each
(excluding facilities and administrative costs
(F&A) or indirect costs)
Rules for Modular Grants
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No more than 10 modules in a year
Total direct cost request may not exceed $250,000
in any single year of the proposal
If direct cost request per year exceeds $250,000,
use traditional PHS 398 application process
Agency for Health Care Policy and Research
(AHCPR) not currently utilizing modular grants
procedures
Module Calculation
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To calculate modules:
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Take the total direct costs over the life of the
project and divide by the number of years requested
to determine average direct cost per year
Take the average direct cost each budget year and
divide by $25,000 to determine the number of
modules to be requested
Always round upward to the next even module of
$25,000
Module Calculation
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To calculate modules:
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Annual escalation of costs (salary increases, merit,
incentive, promotion, etc.) must be included in
initial budget calculations for each year so that
overall modular totals will be accurate
Request the same number of modules each year
(unless major equipment to be purchased, patient
care costs not requested in first or last year, etc.)
Remember, if the same number of modules in each
year are not requested, NIH requires additional
justification for the difference
Pre-Award, Proposal Preparation
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Face Page
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Items 7a and 8a completed in modular format
(increments of $25,000)
Items 7b and 8b add appropriate facilities and
administrative (indirect) costs to the modules of
direct costs requested
Abstract: No change
Table of Contents: No change
Research Plan, Proposal Narrative: No change
Budget Preparation: Omit forms DD and EE (use
modular grant budget justification on
continuation page instead)
Pre-Award, Proposal Preparation
Calculating the Budget
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Direct Cost Line Items
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Salaries and Benefits (Personnel Costs)
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No key personnel shown at 0% time and effort
Apply applicable NIH salary cap
Include merit, cost of living, promotion increases
Calculate fringe benefits in accordance with UCLA’s
published rates or individual’s actual rates, if known
Consultants
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Consider rate of remuneration, travel, per diem, and
other related costs
Pre-Award, Proposal Preparation
Calculating the Budget
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Direct Cost Line Items
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Equipment
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Supplies
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Any items costing $1,500 or more per unit with a
useful life of at least one year
Include any items under $1,500 per unit (or items
greater than $1,500 with under 1 year useful life)
Travel
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Consider number of individuals traveling, destination
(airfare), hotel, per diem
Pre-Award, Proposal Preparation
Calculating the Budget
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Direct Cost Line Items
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Patient Care Costs
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Consider costs covered by research patient care rate
agreement (if using hospital or clinic with DHHS
negotiated rates)
Alterations and Renovations
Other Expenses
Contractual Costs: Subcontracts
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Subcontracts not awarded in $25,000 modules
Round each budget year to the nearest $1,000
(*including F&A/indirect costs*)
Pre-Award, Proposal Preparation
Calculating the Budget
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Direct Cost Line Items
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Subcontracts
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Request an itemized budget and justification
Obtain a letter of intent to establish a
collaborative/consortium agreement (to be submitted
to NIH sponsor with UCLA’s proposal application)
Include in UCLA modular grant budget justification
name of subcontractor organization, percent of effort
for key personnel, role on the project, estimate of
total costs (direct + F&A)
Indicate whether the subcontractor institution is
domestic or foreign
Pre-Award, Proposal Preparation
Calculating the Budget
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Include Facilities and Administrative (Indirect)
Cost Rates effective for UCLA per the current
DHHS negotiated rate agreement:
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Current F&A rates with explanatory information is
posted on the UCLA Office of Sponsored Research
web site at:
http://www.research.ucla.edu/sr2/idcinfo.htm
Pre-Award, Proposal Preparation
Calculating the Budget
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UCLA’s F&A Base: Modified Total Direct Costs
(MTDC)
Excluded from facilities and administrative
(indirect) cost calculation at UCLA:
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Equipment (defined as items costing $1,500 per
unit with at least one-year useful life)
Alterations and Renovations
Patient Care Costs
Tuition Remission
Space Rental Costs
Pre-Award, Proposal Preparation
Calculating the Budget
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Excluded from facilities and administrative
(indirect) cost calculation at UCLA:
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Scholarships and Fellowships
Portion of any subcontract in excess of $25,000
(i.e., F&A calculated on first $25,000 of each
subcontract only, regardless of the period covered
by the subcontract)
Full amount of any funds to be allocated to any
other UC campus via multi-campus agreement
Pre-Award, Proposal Preparation
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Budget Justification
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Include name, title, and percent of effort for each
key personnel assigned to project (not required to
include salary rates)
Distinguish between 9 month/12 month, academic
vs. summer support requested
Describe subcontract(s) planned (name of
organization, key personnel identified, role on
project, time and effort allocation, total costs per
year and sum total (direct + F&A) rounded to the
nearest $1,000
Justify uneven module requests
Pre-Award, Proposal Preparation
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Biographical Sketch
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3 pages allowed with modular submission vs. 2
page allowance for traditional applications
Include studies conducted during past three years
relevant to current proposed research
List select peer-reviewed publications with full
citations
Other Support Page (Form GG): Omit
Pre-Award, Proposal Preparation
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Resources: No change
Checklist Page
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Show Modified Total Direct Cost (MTDC) base and
appropriate F&A (indirect) cost rate applied for each
year
Grand total calculation
PI/Personnel Data: No change
Follow-up to Proposal Submission
and Peer Review Process
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Sponsor may request detailed budget and/or
additional justification if deemed necessary
Adjustments in modules or duration of study may
be negotiated
Other support pages will be required JIT and prior
to award
Modular Nuts and Bolts
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Omits forms DD (initial budget period request), EE
(entire period of support request), and GG (other
support page). These forms not required with
modular grant submissions
Reduces amount of information required in budget
justification
No detailed budget required to be submitted to
UCLA’s OSR with modular grant applications
Awards made without direct cost categorical
breakdowns
Notice of Grant Award (NOGA) states budget
allocation in two segments: Direct and F&A
(Indirect)
Post-Award
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Burden for administrative oversight and proper
expenditure of funds left to UCLA and each
project’s Principal Investigator(s)
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PI’s and departmental staff solely responsible for
ensuring that sufficient funds are requested and
that indirect cost calculations are accurate
Department will initiate Transfer of Funds (TOF) to
allocate funds to line items based on expenditures
No additional project funding available to cover
errors or omissions
Request for prior approval of significant
rebudgeting (budget movement in excess of 25%)
eliminated
Post-Award
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Carryover automatic; however, remember that
any carryover in excess of 25% must be explained
on non-competing continuation applications
Expenditures must be allowable, allocable,
reasonable, and consistently applied (NIH Grants
Policy Statement, Cost Accounting Standards
(CAS), OMB Circular A-21)
Modulars are eligible for administrative
supplements (requests to be submitted utilizing
traditional PHS398 instructions)
Only final financial status reports (SF269)
required
Compliance
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Institutions monitored by administrative and
financial systems along with business practices
Costs monitored on rate of expenditure (draw
down) in relation to:
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proposed scope of work
completion of scientific aims
Web Sites for Assistance
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NIH Modular Grants Website:
http://www.nih.gov/grants/funding/modular/modular.htm
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UCLA’s Office of Sponsored Research Website:
NIH Modular Grants at UCLA:
http://www.research.ucla.edu/sr2/ModAdmin.htm
PHS Forms -- UCLA Links:
http://www.research.ucla.edu/sr2/PHSForm.htm
OSR Staff:
http://www.research.ucla.edu/SRassn.htm
Samples
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Budget calculations and justification
Biographical sketch
Face Page and Checklist Page