Grants Management
Usha Ganti, Acting Grants Management Officer
Phone: (301) 594-8950
E-mail address: gantiu@od.nih.gov
PROJECT EXPORT
1
Overview:
Highlights of Mechanisms
Standard Forms
Budget Preparation
Reporting Requirements
Closeout Requirements
Useful Tips
PROJECT EXPORT
2
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
PROJECT EXPORT
3
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
PROJECT EXPORT
4
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
PROJECT EXPORT
5
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
PROJECT EXPORT
6
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
PROJECT EXPORT
7
? Form Approved Through 05/2004 OMB No. 0925 -0001
Department of Health and Human Services LEAVE BLANK—FOR PHS USE ONLY.
Public Health Services Type Activity Number
Review Group Formerly
Grant Application
Do not exceed 56-character length restrictions, including spaces. Council/Board (Month, Year) Date Received
1. TITLE OF PROJECT
Grant Application 2. RESPONSE TO SPECIFIC REQUEST FOR APPLICATIONS OR PROGRAM ANNOUNCEMENT OR SOLICITATION
(If “Yes,” state number and title)
NO YES
PHS 398 Face Page Number:
3. PRINCIPAL INVESTIGATOR/PROGRAM DIRECTOR
Title:
New Investigator No Yes
3a. NAME (Last, first, middle) 3b. DEGREE(S)
3c. POSITION TITLE 3d. MAILING ADDRESS (Street, city, state, zip code)
• Project Title 3e. DEPARTMENT, SERVICE, LABORATORY, OR EQUIVALENT
3f. MAJOR SUBDIVISION
• RFA # and Title 3g. TELEPHONE AND FAX (Area code, number and extension)
TEL: FAX:
E-MAIL ADDRESS:
4. HUMAN SUBJECTS 4a. Research Exempt No Yes 5. VERTEBRATE ANIMALS No Yes
RESEARCH
If “Yes,” Exemption No.
• RFA Label
No 4b. Human Subjects 4c. NIH-defined Phase III 5a. If “Yes,” IACUC approval Date 5b. Animal welfare assurance no
Assurance No. Clinical Trial
Yes
No Yes
6. DATES OF PROPOSED PERIOD OF 7. COSTS REQUESTED FOR INITIAL 8. COSTS REQUESTED FOR PROPOSED
SUPPORT (month, day, year—MM/DD/YY) BUDGET PERIOD PERIOD OF SUPPORT
• Direct and Total Costs
From Through 7a. Direct Costs ($) 7b. Total Costs ($) 8a. Direct Costs ($) 8b. Total Costs ($)
9. APPLICANT ORGANIZATION 10. TYPE OF ORGANIZATION
Name Public: Federal State Local
Address Private: Private Nonprofit
• Human Subjects For-profit:
Woman-owned
General Small Business
Socially and Economically Disadvantaged
11. ENTITY IDENTIFICATION NUMBER
DUNS NO. (if available)
• Vertebrate Animals Institutional Profile File Number (if known)
12. ADMINISTRATIVE OFFICIAL TO BE NOTIFIED IF AWARD IS MADE
Congressional District
13. OFFICIAL SIGNING FOR APPLICANT ORGANIZATION
Name Name
Title Title
• Signatures Address Address
Tel FAX Tel FAX
E-Mail E-Mail
14. PRINCIPAL INVESTIGATOR/PROGRAM DIRECTOR ASSURANCE: I certify that the SIGNATURE OF PI/PD NAMED IN 3a. DATE
statements herein are true, complete and accurate to the best of my knowledge. I am (In ink. “Per” signature not acceptable.)
aware that any false, fictitious, or fraudulent statements or claims may subject me to
PROJECT EXPORT
criminal, civil, or administrative penalties. I agree to accept responsibility for the scientific
conduct of the project and to provide the required progress reports if a grant is awarded as
a result of this application.
15. APPLICANT ORGANIZATION CERTIFICATION AND ACCEPTANCE: I certify that the SIGNATURE OF OFFICIAL NAMED IN 13. DATE
statements herein are true, complete and accurate to the best of my knowledge, and (In ink. “Per” signature not acceptable.)
accept the obligation to comply with Public Health Services terms and conditions if a grant
is awarded as a result of this application. I am aware that any false, fictitious, or fraudulent
statements or claims may subject me to criminal, civil, or administrative penalties.
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)
PROJECT EXPORT
9
Budget Preparation
Budget Components
– Individual Budget Components (Projects and Cores)
– Consortium/Contractual Costs
– Composite Budget
– Features & Costs (specific to RFAs)
– Budget Justification
PROJECT EXPORT
10
Application Budget Components: Applicant Proposes
No Subcontractor
Example 1
Composite Budget
Form 4
Form 5
Core 1 Core 2 Core 3 Core 4 Core 5
Individual Budget Individual Budget Individual Budget Individual Budget Individual Budget
Form 4 Form 4 Form 4 Form 4 Form 4
Form 5 Form 5 Form 5 Form 5 Form 5
PROJECT EXPORT
11
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
PROJECT EXPORT
12
? Principal Investigator/Program Director (Last, first, middle):
FROM THROUGH
DETAILED BUDGET FOR INITIAL BUDGET PERIOD
DIRECT COSTS ONLY
Individual Detailed PERSONNEL (Applicant organization only)
TYPE
%
EFFORT INST.
DOLLAR AMOUNT REQUESTED (omit cents)
ROLE ON SALARY FRINGE
Budget for Initial NAME PROJECT
Principal
APPT.
(months)
ON
PROJ.
BASE
SALARY
REQUESTED BENEFITS TOTAL
Budget Period Investigator
PHS 398 Form Page 4
• Personnel Costs
•Name
•Role SUBTOTALS
•Type
CONSULTANT COSTS
•Effort EQUIPMENT (Itemize)
•Inst. Base Salary SUPPLIES (Itemize by category)
•Salary Requested
•Fringe Benefits
•Total TRAVEL
• Equipment PATIENT CARE COSTS INPATIENT
OUTPATIENT
ALTERATIONS AND RENOVATIONS (Itemize by category)
• Supplies OTHER EXPENSES (Itemize by category)
SUBTOTAL DIRECT COSTS FOR INITIAL BUDGET PERIOD $
CONSORTIUM/CONTRACTUAL DIRECT COSTS
COSTS FACILITIES AND ADMINISTRATIVE COSTS
PROJECT EXPORT
TOTAL DIRECT COSTS FOR INITIAL BUDGET PERIOD (Item 7a, Face Page) $
SBIR/STTR Only: FEE REQUESTED
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
PROJECT EXPORT
14
? Principal Investigator/Program Director (Last, first, middle):
BUDGET FOR ENTIRE PROPOSED PROJECT PERIOD
DIRECT COSTS ONLY
Individual Budget for INITIAL BUDGET
ADDITIONAL YEARS OF SUPPORT REQUESTED
Entire Proposed Period BUDGET CATEGORY
TOTALS
PERIOD
(from Form Page 4) 2nd 3rd 4th 5th
PHS 398 Form Page 5 PERSONNEL: Salary and
fringe benefits. Applicant
organization only.
CONSULTANT COSTS
• Personnel Costs EQUIPMENT
•Total Directs in each SUPPLIES
year TRAVEL
INPATIENT
PATIENT
• Travel Costs CARE
COSTS OUTPATIENT
•Total Directs in each ALTERATIONS AND
RENOVATIONS
year OTHER EXPENSES
SUBTOTAL DIRECT COSTS
DIRECT
CONSORTIUM/
CONTRACTUAL
COSTS F&A
TOTAL DIRECT COSTS
TOTAL DIRECT COSTS FOR ENTIRE PROPOSED PROJECT PERIOD (Item 8a, Face Page) $
SBIR/STTR Only
Fee Requested
PROJECT Period
SBIR/STTR Only: Total Fee Requested for Entire Proposed Project EXPORT
(Add Total Fee amount to “Total direct costs for entire proposed project period” above and Total F&A/indirect costs from
Checklist Form Page, and enter these as “Costs Requested for Proposed Period of Support on Face Page, Item 8b.) $
JUSTIFICATION. Follow the budget justification instructions exactly. Use continuation pages as needed.
Application Budget Components: Applicant Proposes
Subcontracting Arrangement (Stand-alone Subcontract)
Example 2
Composite Budget
Form 4
Form 5
Core 1 Core 2 Core 3 Core 4 Core 5
Individual Budget Subcontract Individual Budget Individual Budget Individual Budget
Form 4 Individual Budget Form 4 Form 4 Form 4
Form 5 Form 4 and 5 Form 5 Form 5 Form 5
PROJECT EXPORT
16
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
PROJECT EXPORT
17
? Principal Investigator/Program Director (Last, first, middle):
FROM THROUGH
DETAILED BUDGET FOR INITIAL BUDGET PERIOD
DIRECT COSTS ONLY
Consortium (Stand- PERSONNEL (Applicant organization only)
TYPE
%
EFFORT INST.
DOLLAR AMOUNT REQUESTED (omit cents)
ROLE ON SALARY FRINGE
alone Subcontract) NAME PROJECT
Principal
APPT.
(months)
ON
PROJ.
BASE
SALARY
REQUESTED BENEFITS TOTAL
Detailed Budget for Investigator
Initial Budget Period
PHS 398 Form Page 4
• Personnel Costs
•Name
•Role SUBTOTALS
•Type
CONSULTANT COSTS
•Effort EQUIPMENT (Itemize)
•Inst. Base Salary SUPPLIES (Itemize by category)
•Salary Requested
•Fringe Benefits
•Total TRAVEL
• Equipment PATIENT CARE COSTS INPATIENT
OUTPATIENT
ALTERATIONS AND RENOVATIONS (Itemize by category)
• Supplies OTHER EXPENSES (Itemize by category)
• Consortium Costs
•Facilities & Admin. SUBTOTAL DIRECT COSTS FOR INITIAL BUDGET PERIOD $
(F&A) CONSORTIUM/CONTRACTUAL DIRECT COSTS
PROJECT EXPORT
COSTS FACILITIES AND ADMINISTRATIVE COSTS
TOTAL DIRECT COSTS FOR INITIAL BUDGET PERIOD (Item 7a, Face Page) $
SBIR/STTR Only: FEE REQUESTED
? Principal Investigator/Program Director (Last, first, middle):
BUDGET FOR ENTIRE PROPOSED PROJECT PERIOD
DIRECT COSTS ONLY
Consortium (Stand-alone INITIAL BUDGET
ADDITIONAL YEARS OF SUPPORT REQUESTED
Subcontract) Budget for BUDGET CATEGORY
TOTALS
PERIOD
(from Form Page 4) 2nd 3rd 4th 5th
Entire Proposed Period PERSONNEL: Salary and
fringe benefits. Applicant
organization only.
PHS 398 Form Page 5 CONSULTANT COSTS
• Personnel Costs EQUIPMENT
•Total Directs in each SUPPLIES
year TRAVEL
INPATIENT
PATIENT
• Travel Costs CARE
COSTS OUTPATIENT
•Total Directs in each ALTERATIONS AND
RENOVATIONS
year
OTHER EXPENSES
• Consortium Costs
SUBTOTAL DIRECT COSTS
•Total F&A in each CONSORTIUM/
CONTRACTUAL
DIRECT
COSTS
year F&A
TOTAL DIRECT COSTS
TOTAL DIRECT COSTS FOR ENTIRE PROPOSED PROJECT PERIOD (Item 8a, Face Page) $
SBIR/STTR Only
Fee Requested
PROJECT Period
SBIR/STTR Only: Total Fee Requested for Entire Proposed Project EXPORT
(Add Total Fee amount to “Total direct costs for entire proposed project period” above and Total F&A/indirect costs from
Checklist Form Page, and enter these as “Costs Requested for Proposed Period of Support on Face Page, Item 8b.) $
JUSTIFICATION. Follow the budget justification instructions exactly. Use continuation pages as needed.
Application Budget Components: Applicant Proposes a
Sub-Sub Arrangement
Example 3
Composite Budget
Form 4
Form 5
Core 1 Core 2 Core 3 Core 4 Core 5
Individual Budget Subcontract Individual Budget Individual Budget Individual Budget
Form 4 Individual Budget Form 4 Form 4 Form 4
Form 5 Form 4 and 5 Form 5 Form 5 Form 5
Sub-Sub
Individual Budget
Form 4
Form 5
PROJECT EXPORT
20
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
PROJECT EXPORT
21
? Principal Investigator/Program Director (Last, first, middle):
Individual (Project 2 DETAILED BUDGET FOR INITIAL BUDGET PERIOD
DIRECT COSTS ONLY
FROM THROUGH
Stand-alone PERSONNEL (Applicant organization only)
ROLE ON TYPE
APPT.
%
EFFORT
ON
INST.
BASE
DOLLAR AMOUNT REQUESTED (omit cents)
SALARY FRINGE
NAME PROJECT REQUESTED BENEFITS TOTAL
Subcontract) Detailed Principal
(months) PROJ. SALARY
Investigator
Budget for Initial
Budget Period
PHS 398 Form Page 4
• Personnel Costs
•Name SUBTOTALS
•Role CONSULTANT COSTS
•Type EQUIPMENT (Itemize)
•Effort SUPPLIES (Itemize by category)
•Inst. Base Salary
•Salary Requested
•Fringe Benefits TRAVEL
•Total PATIENT CARE COSTS INPATIENT
OUTPATIENT
• Equipment ALTERATIONS AND RENOVATIONS (Itemize by category)
OTHER EXPENSES (Itemize by category)
• Supplies
• Consortium Costs (Sub-sub)
• Direct Costs (DC)
SUBTOTAL DIRECT COSTS FOR INITIAL BUDGET PERIOD $
CONSORTIUM/CONTRACTUAL DIRECT COSTS
PROJECT EXPORT
• Facilities and Admin. COSTS FACILITIES AND ADMINISTRATIVE COSTS
TOTAL DIRECT COSTS FOR INITIAL BUDGET PERIOD (Item 7a, Face Page) $
(F&A) SBIR/STTR Only: FEE REQUESTED
? Principal Investigator/Program Director (Last, first, middle):
Individual (Project 2 BUDGET FOR ENTIRE PROPOSED PROJECT PERIOD
DIRECT COSTS ONLY
Stand-alone Subcontract) INITIAL BUDGET
ADDITIONAL YEARS OF SUPPORT REQUESTED
BUDGET CATEGORY PERIOD
Budget for Entire TOTALS (from Form Page 4) 2nd 3rd 4th 5th
PERSONNEL: Salary and
Proposed Period fringe benefits. Applicant
organization only.
PHS 398 Form Page 5 CONSULTANT COSTS
EQUIPMENT
• Personnel Costs SUPPLIES
•Total Directs in each year TRAVEL
INPATIENT
PATIENT
• Travel Costs CARE
COSTS OUTPATIENT
•Total Directs in each year ALTERATIONS AND
RENOVATIONS
OTHER EXPENSES
•Consortium Costs (Sub-sub) SUBTOTAL DIRECT COSTS
• Total Direct Costs in
DIRECT
each year CONSORTIUM/
CONTRACTUAL
• Total F&A in each year
COSTS F&A
TOTAL DIRECT COSTS
TOTAL DIRECT COSTS FOR ENTIRE PROPOSED PROJECT PERIOD (Item 8a, Face Page) $
SBIR/STTR Only
Fee Requested
PROJECT Period
SBIR/STTR Only: Total Fee Requested for Entire Proposed Project EXPORT
(Add Total Fee amount to “Total direct costs for entire proposed project period” above and Total F&A/indirect costs from
Checklist Form Page, and enter these as “Costs Requested for Proposed Period of Support on Face Page, Item 8b.) $
JUSTIFICATION. Follow the budget justification instructions exactly. Use continuation pages as needed.
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.
PROJECT EXPORT
24
? Principal Investigator/Program Director (Last, first, middle):
FROM THROUGH
DETAILED BUDGET FOR INITIAL BUDGET PERIOD
DIRECT COSTS ONLY
PERSONNEL (Applicant organization only) % DOLLAR AMOUNT REQUESTED (omit cents)
Composite Budget for NAME
ROLE ON
PROJECT
TYPE
APPT.
(months)
EFFORT
ON
PROJ.
INST.
BASE
SALARY
SALARY
REQUESTED
FRINGE
BENEFITS TOTAL
Initial Budget Period Principal
Investigator
PHS 398 Form Page 4
• Personnel Costs
•Project – 1
•Project – 2 SUBTOTALS
•Admin Core
CONSULTANT COSTS
•Salary EQUIPMENT (Itemize)
•Fringe Benefits SUPPLIES (Itemize by category)
•Totals
• Consortium Costs TRAVEL
•Project 2 DC PATIENT CARE COSTS INPATIENT
•Project 2 F&A
OUTPATIENT
ALTERATIONS AND RENOVATIONS (Itemize by category)
OTHER EXPENSES (Itemize by category)
SUBTOTAL DIRECT COSTS FOR INITIAL BUDGET PERIOD $
CONSORTIUM/CONTRACTUAL DIRECT COSTS PROJECT EXPORT
COSTS FACILITIES AND ADMINISTRATIVE COSTS
TOTAL DIRECT COSTS FOR INITIAL BUDGET PERIOD (Item 7a, Face Page) $
SBIR/STTR Only: FEE REQUESTED
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.
PROJECT EXPORT
26
? Principal Investigator/Program Director (Last, first, middle):
BUDGET FOR ENTIRE PROPOSED PROJECT PERIOD
DIRECT COSTS ONLY
Composite Budget for INITIAL BUDGET
ADDITIONAL YEARS OF SUPPORT REQUESTED
Entire Proposed Period BUDGET CATEGORY
TOTALS
PERIOD
(from Form Page 4) 2nd 3rd 4th 5th
PHS 398 Form Page 5 PERSONNEL: Salary and
fringe benefits. Applicant
organization only.
CONSULTANT COSTS
•Personnel Costs EQUIPMENT
•Sum of all projects SUPPLIES
and cores in each year TRAVEL
INPATIENT
PATIENT
•Consortium Costs (Sum CARE
COSTS OUTPATIENT
of All consortiums) ALTERATIONS AND
•Total Directs Costs
RENOVATIONS
OTHER EXPENSES
•Total F&A Costs
SUBTOTAL DIRECT COSTS
DIRECT
CONSORTIUM/
CONTRACTUAL
COSTS F&A
TOTAL DIRECT COSTS
TOTAL DIRECT COSTS FOR ENTIRE PROPOSED PROJECT PERIOD (Item 8a, Face Page) $
SBIR/STTR Only
Fee Requested
PROJECT Period
SBIR/STTR Only: Total Fee Requested for Entire Proposed Project EXPORT
(Add Total Fee amount to “Total direct costs for entire proposed project period” above and Total F&A/indirect costs from
Checklist Form Page, and enter these as “Costs Requested for Proposed Period of Support on Face Page, Item 8b.) $
JUSTIFICATION. Follow the budget justification instructions exactly. Use continuation pages as needed.
Applicant Budget Components: Complimentary
Applications
Example 4
Institution 1 Institution 2
Composite Budget Composite Budget
Form 4 Form 4
Form 5 Form 5
Core 1 Core 2 Core 3 Core 4 Core 5 Core 1 Core 2 Core 3 Core 4
Individual Budget Subcontractor Individual Budget Individual Budget Individual Budget Individual Budget Individual Budget Individual Budget Individual Budget
Form 4 Individual Budget Form 4 Form 4 Form 4 Form 4 Form 4 Form 4 Form 4
Form 5 Form 4 and 5 Form 5 Form 5 Form 5 Form 5 Form 5 Form 5 Form 5
Sub-Sub Subcontractor
Individual Budget Individual Budget
Form 4 Form 4
Form 5 Form 5
PROJECT EXPORT
28
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
PROJECT EXPORT
29
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
PROJECT EXPORT
30
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
PROJECT EXPORT
31
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
PROJECT EXPORT
32
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
PROJECT EXPORT
33
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
PROJECT EXPORT
34
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
PROJECT EXPORT
35
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
PROJECT EXPORT
36
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
PROJECT EXPORT
37
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
PROJECT EXPORT
38
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)
PROJECT EXPORT
39
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
PROJECT EXPORT
40
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
PROJECT EXPORT
41
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
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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)
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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
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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
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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
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? Principal Investigator/Program Director (Last, first, middle):
CHECKLIST
TYPE OF APPLICATION (Check all that apply.)
NEW application. (This application is being submitted to the PHS for the first time.)
Checklist Page SBIR Phase I
STTR Phase I
SBIR Phase II: SBIR Phase I Grant No. _
STTR Phase II: STTR Phase I Grant No. _
______________________
______________________
SBIR Fast Track
STTR Fast Track
PHS 398 Form REVISION of application number:
(This application replaces a prior unfunded version of a new, competing continuation, or supplemental application.)
INVENTIONS AND PATENTS
COMPETING CONTINUATION of grant number: (Competing continuation appl. and Phase II only)
(This application is to extend a funded grant beyond its current project period.)
No Previously reported
SUPPLEMENT to grant number: Yes. If “Yes,” Not previously reported
(This application is for additional funds to supplement a currently funded grant.)
• F&A Costs CHANGE of principal investigator/program director.
Name of former principal investigator/program director:
•Agreement Date FOREIGN application or significant foreign component.
1. PROGRAM INCOME (See instructions.)
All applications must indicate whether program income is anticipated during the period(s) for which grant support is request. If program income
•Base
is anticipated, use the format below to reflect the amount and source(s).
Budget Period Anticipated Amount Source(s)
•Rate 2. ASSURANCES/CERTIFICATIONS (See instructions.)
•Debarment and Suspension; •Drug- Free Workplace (applicable to new
The following assurances/certifications are made and verified by the
[Type 1] or revised [Type 1] applications only); •Lobbying; •Non-
•Total F&A Costs signature of the Official Signing for Applicant Organization on the Face
Page of the application. Descriptions of individual assurances/
certifications are provided in Section III. If unable to certify compliance,
Delinquency on Federal Debt; •Research Misconduct; •Civil Rights
(Form HHS 441 or HHS 690); •Handicapped Individuals (Form HHS 641
where applicable, provide an explanation and place it after this page. or HHS 690); •Sex Discrimination (Form HHS 639-A or HHS 690); •Age
Discrimination (Form HHS 680 or HHS 690); •Recombinant DNA and
•Human Subjects; •Research Using Human Embryonic Stem Cells• Human Gene Transfer Research; •Financial Conflict of Interest (except
•Research on Transplantation of Human Fetal Tissue •Women and Phase I SBIR/STTR) •STTR ONLY: Certification of Research Institution
Minority Inclusion Policy •Inclusion of Children Policy• Vertebrate Animals• Participation.
3. FACILITIES AND ADMINSTRATIVE COSTS (F&A)/ INDIRECT COSTS. See specific instructions.
DHHS Agreement dated: No Facilities And Administrative Costs Requested.
DHHS Agreement being negotiated with Regional Office.
No DHHS Agreement, but rate established with Date
CALCULATION* (The entire grant application, including the Checklist, will be reproduced and provided to peer reviewers as confidential information.)
a. Initial budget period: Amount of base $ x Rate applied % = F&A costs $
b. 02 year Amount of base $ x Rate applied % = F&A costs $
c. 03 year Amount of base $ x Rate applied % = F&A costs $
d. 04 year Amount of base $ x Rate applied % = F&A costs $
e. 05 year Amount of base $ x Rate applied % = F&A costs $
TOTAL F&A Costs $
*Check appropriate box(es):
Salary and wages base
PROJECT EXPORTbase (Explain)
Modified total direct cost base
Off-site, other special rate, or more than one rate involved (Explain)
Other
Explanation (Attach separate sheet, if necessary.):
4. SMOKE-FREE WORKPLACE Yes No (The response to this question has no impact on the review or funding of this application.)
Questions
Forms
When?
Exit Door?
Grant
RFA
Process
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