National Institutes of Health Modular Grants Proposal Preparation and Award Administration Presented by UCLA’s Office of Sponsored Research Linda White,

National Institutes of Health Modular Grants

Proposal Preparation and Award Administration

National Institutes of Health Modular Grants

Proposal Preparation and Award Administration

Presented by UCLA’s Office of Sponsored Research

Linda White, Grant AnalystLinda White, Grant Analyst

Nancy Daneau, Contract and Nancy Daneau, Contract and Grant OfficerGrant Officer

Presented by UCLA’s Office of Sponsored Research

Linda White, Grant AnalystLinda White, Grant Analyst

Nancy Daneau, Contract and Nancy Daneau, Contract and Grant OfficerGrant Officer

Rationale for Modular Grants 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 Year 1 open for public comment Years 2&3 to undergo extensive evaluation

Applicable to:

R01, Research project grant applications R03, Small grants R15, Academic Research Enhancement

Awards R21, Exploratory/Developmental grants R41, Small Business Innovation Research

Grants-Phase I R43, Small Business Technology Transfer

Grants-Phase I

Defining Characteristics of Modular Grants

Effective with 6/1/99 submission deadline For solicited and unsolicited (investigator-

initiated) 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 GrantsRules for Modular Grants

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 CalculationModule Calculation

To calculate modules: 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

To calculate modules: 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 Face Page

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 PreparationCalculating the Budget

Direct Cost Line Items Salaries and Benefits (Personnel Costs)

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 Consider rate of remuneration, travel, per diem,

and other related costs



Direct Cost Line Items Equipment

Any items costing $1,500 or more per unit with a useful life of at least one year

Supplies Include any items under $1,500 per unit (or

items greater than $1,500 with under 1 year useful life)

Travel Consider number of individuals traveling,

destination (airfare), hotel, per diem

Pre-Award, Proposal Preparation Calculating the Budget

Direct Cost Line Items Patient Care Costs

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

Subcontracts not awarded in $25,000 modules Round each budget year to the nearest $1,000

(*including F&A/indirect costs*)


Direct Cost Line Items Subcontracts

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


Include Facilities and Administrative (Indirect) Cost Rates effective for UCLA per the current DHHS negotiated rate agreement:

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


UCLA’s F&A Base: Modified Total Direct Costs (MTDC)

Excluded from facilities and administrative (indirect) cost calculation at UCLA: 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



Excluded from facilities and administrative (indirect) cost calculation at UCLA: 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

Budget Justification 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

Biographical Sketch 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 PreparationPre-Award, Proposal Preparation

Resources: No change Checklist Page

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

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 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 Burden for administrative oversight and proper

expenditure of funds left to UCLA and each project’s Principal Investigator(s) 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 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

Institutions monitored by administrative and financial systems along with business practices

Costs monitored on rate of expenditure (draw down) in relation to: proposed scope of work completion of scientific aims

Web Sites for Assistance

NIH Modular Grants Website:

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

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.htmOSR Staff:http://www.research.ucla.edu/SRassn.htm

Samples

Budget calculations and justification Biographical sketch Face Page and Checklist Page

Documents

National Institutes of Health Modular Grants Proposal Preparation and Award Administration Presented by UCLA’s Office of Sponsored Research Linda White,