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| Information
on NIH Modular Grants |
| Overview
of NIH Modular Grants
The NIH Modular Grant Application procedures apply to research grant
applications--all R01, R03, R15, R21, R41, R43, and RFA applications--requesting
$250,000 or less in direct costs for each budget year. Some RFAs
may also specify use of this format for awards with direct cost
budgets larger than $250,000 per year; check the RFA to determine
if this applies. All other grant applications should continue to
use the traditional PHS 398 requirements.
In Modular Grant applications direct costs
are requested in modules of $25,000, reflecting appropriate
support for the project. A typical modular grant application will
request the same number of modules in each year. Additional narrative
budget justification will be required in the application only if
there is a variation in the number of modules requested.
Rather than provide a detailed, multi-year budget to NIH, the PI
provides a Budget Justification Page that describes all Personnel
by position, role, and level of effort. The Budget Justification
also includes a total cost estimate for any Consortium/Contractual
arrangements.
The NIH Modular Grant eliminates the 25% post-award rebudgeting
requirement.
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| Modular
Instructions
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Submit the following to SPA for review and approval at least
ten business days before the NIH deadline (These forms are not
submitted to NIH, rather they are tools to help the PI and SPA
determine the appropriate number of modules, indirect costs,
and cost-sharing.):
- A
completed "Short
Form" budget. This budget form is not intended to help
you decide how many modules to request. It requests information
only on IFR salary, Cost Sharing, Subcontracts and exclusions
from the F&A Base--the minimal information required by SPA
and your dean. This form will the figure the direct costs
(based on the number of modules you select) and the F&A
(indirect) costs. This Excel workbook will also generate
a Face Page (AA) and a Checklist (II) page for your proposal.
The "Justification Data" sheet will provide you with information
that should be included in the Budget Justification.
or: A completed budget using NIH Modular Budget
Spreadsheet, which uses the PHS 398 detailed budget
sheet. This workbook will aid you in deciding how many modules
to request. It will figure the direct and F&A (indirect)
costs. The "Justification Data" sheet will provide you with
information that should be included in the Budget Justification.
or:
A comparable spreadsheet.
- If
there are subcontracts involved, submit the following
for each subcontract: Detailed budget for Year 1 (spreadsheet
acceptable) Multi-year budget, by major category (spreadsheet
acceptable)
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Refer
to the Quick Reference Guide to Application
Forms when preparing the forms to be submitted to NIH with the
proposal.
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| Hints,
Tips, and Reminders
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All Personnel must be listed
on the Budget Justification Page with a percentage of effort
and a description of responsibilities. This includes consultants.
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In
addition, All Key Personnel
(as defined on page 11 of the 398 Application kit) must:
- Be
listed on the Abstract Page.
- Not
show a percentage of effort equal to zero.
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Salary
Recovery: The percentage of time shown on the Budget
Justification Page should be equivalent to the percentage of
salary charged to the grant. The salary and fringe benefits
associated with any effort expended on a project should be included
when determining the number of modules and should be directly
charged to the sponsored project account. Salary and fringe
that are not recovered from the grant constitute a University
Cost Share.
Reminder: The
PI cannot cost-share academic year time on a grant without the
approval of the cognizant Dean or Chair. If cost-sharing is
desired, item 21 on the Sponsored Programs Approval Form must
be completed and initialed by the cognizant Chair or Dean. This
becomes an official part of the budget and should be documented
on the Budget Justification Page.
- Academic
vs. Summer Effort:
The percentage of effort shown on the Budget Justification Page
for all key personnel should distinguish between academic year
and summer effort (for faculty with 9-month appointments).
- Budget
Adjustments:
The Scientific Review Group (SRG) may adjust the requested budget.
Any overall adjustments by the SRG will be made in modules. In
addition, the reviewers may recommend specific budgetary changes
that are described in the summary statement, but cannot be reflected
in a modular reduction. In these cases, Institute staff will obtain
the necessary cost information prior to any award.
- NIH
may adjust the amount to be awarded based on identified overlap
and/or a requirement to meet its current management objectives.
- NIH
may request a detailed budget if they believe it will help in
its review.
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Quick Reference Guide to Application Forms
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PHS
Form 398
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What
is Different for a Modular Grant
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AA
(Cover Sheet)
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7a
and 8a must show direct cost amount requested in $25,000 modules
up to $250,000 per year of the grant. Use the internal NIH
Modular Budget
Worksheet to help prepare your budget and derive the numbers
to put in these fields.
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BB
(Abstract)
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No
change
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CC
(Table of Contents)
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Type
"NA" for Detailed Budget (DD) and for Other Support (GG)
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DD
(Detailed Budget) and
EE (Multi-Year Budget/Justification)
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Replace
these two forms with the Modular Budget Justification
Page. Required items include:
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Total
Direct Costs Requested (All years combined)
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Total
Direct Costs Requested (Each Year - normally
this will be the same number of modules for each year.)
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Names
of PI and all other Personnel, with % of effort
and role on project--do not include salary information.
For faculty with 9-month appointments, the percentage
of effort on the budget justification should distinguish
between academic year and summer effort. The salary and
fringe benefits associated with effort on the project
should be included when determining the number of modules
and should be charged to the sponsored project account.
Salary and fringe that are not recovered from the grant
constitute a University Cost Share. Reminder: The PI cannot
cost-share academic year time on a grant without the approval
of the cognizant Dean or Chair. If cost-sharing is desired,
item 21 on the Sponsored Programs Approval Form must be
completed and initialed by the appropriate Chair or Dean.
This becomes an official part of the budget and should
be documented on the Budget Justification Page.
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Subcontracts/consortium
arrangements
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Name
of subcontractor
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Cost
of subcontract by year (direct cost + subcontractor's
F&A cost combined) to nearest $1,000 (Subcontracts
are not awarded in modules.)
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Role
on project.
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Names
of subcontractor's key personnel and their % effort.
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Indicate
whether subcontractor is domestic or foreign.
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If
you are requesting a different number of modules in any
one year, provide a detailed explanation of why this is
appropriate.
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If
it does, follow the regular PHS 398 budget format in lieu
of the modular format.
Note:
Amount requested may not exceed $250,000 in direct costs for
any single year of the proposal. If it does, follow the regular
PHS 398 budget format in lieu of the modular format.
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FF
(Biographical Sketch)
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Increase
page limit from 2 pages to 3 pages to accommodate the required
new section describing information on research projects relevant
to the submitted application (ongoing or completed during
the last three years) for the Principal Investigator and other
Key Personnel. List each project by agency and award number.
Include each individual's major goals and responsibilities
for each project.
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GG
(Other Support)
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Required
"Just In Time" to determine overlap for likely award candidates.
(Selected information is now captured in Form FF--Biosketch
-see above)
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HH
(Resources)
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No
change
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II
(Checklist)
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Complete
as usual.
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JJ
(Personnel Report) (Renewals Only)
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No
change
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Contact
Information
Sponsored Programs
Administration
Suite 211, The UB Commons
520 Lee Entrance
Amherst NY 14228-2567
phone: 716:645-2977
fax: 716:645-3730
info@research.buffalo.edu
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