Fiscal and Administrative Management

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Fiscal and Administrative Management
Susan Ricci Grants Management Specialist
SBRP Applicant Information Meeting October 29,
2003 Research Triangle Park North Carolina
US Department of Health and Human
Services National Institutes of Health National
Institute of Environmental Health Sciences
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Objectives

• Examine SBRP Specific Budget Requirements
• Review New NIH Policy/Requirements
• Get Pointed in the Right Direction

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The Big Picture

• Approximately 27 million available for this
  competition
• Approximately 8-10 grants will be funded
• Anticipated Start DateApril 1, 2005

4
Maximum Budget

• 2.1 million direct costs
• does NOT include third party FA
• 3 escalation of recurring direct costs per
  out-year

Consideration of equipment in the out-years will
be based upon justification and availability of
funds
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Non-Modular

• Provide detailed categorical budgets
• Each Project
• Each Core
• Each 3rd Party Participant
• ALL Budgets should be together in Part 1 of the
  application
• ALL Budget Pages should be labeled

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COMPOSITE BUDGET
NIEHS/EPA SBRP is...
Matisse, G
145,000
23,000
Project 1
122,000
Project 2
305,000
55,000
250,000
Core A
15,000
110,000
95,000
467,000
93,000
560,000
Project 2 10,000
Project 1 15,000
25,000
Project 1 60,000
Project 2 30,000
Core A 10,000
100,000
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Project 1
Individual Budget
NIEHS/EPA SBRP is...
Matisse, G
PI
72,000
60,000
12,000
Matisse, G
12
40
150,000
Cassatt, H
42,000
Sr. Tech
6,000
12
80
36,000
45,000
26,000
12
100
26,000
OKeefe, M
5,000
31,000
Post-doc
122,000
23,000
145,000
Blumberg Assoc 15,000
15,000
Centrifuge 25,000
HPLC- 35,000
60,000
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Budget Travel Requirements
Annual Meeting Administrative Core Budget PI,
Business Manager, 3 students Outreach Core
Budget Core Leader Research Translational Core
Budget Core Leader
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Core Budget Caps

• Community Outreach Core100,000 direct costs
• Training Core6 of total budget
• Budget could include- Core leader and staff-
  Expenses associated with core- Student support

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Training

• Pre- and Post-Doctoral Students
• Must be employees of the institution
• May be part of the training core, a project or
  core, or both, but only supported by one
• Subject to Student Compensation Cap

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Training
http//grants1.nih.gov/grants/guide/notice-files/N
OT-OD-03-036.html
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Training Budget Considerations

• Trainee participating in Research Project or Core
• Include trainees financial support in the
  budget for the appropriate project
• Indicate that this individual is part of the
  Training Core
• List the trainee in the Training Core.
• Indicate that this individuals support is
  included in project x
• Trainee not participating in Research Project or
  Core
• Include trainees financial support in the
  Training Core
• Indicate that the trainee is not part of a
  Research Project or Core

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Funding Considerations

• Based on
• Availability of funds
• Technical merit
• Programmatic Balance

Awards up to 5 years
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Eligible Institutions

• Domestic Accredited Higher Education Institutions
• Encouraged to collaborate with others
• Foreign Institutions
• State and Local Governments
• Non-Profit Organizations
• For- Profit Organizations
• Other Academic Institutions

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Budget Justifications
Be detailed and specific

• Is the amount of escalation requested supported
  by institutional policies? Is the amount clearly
  stated?
• Are all costs itemized?
• Are all additions and changes in future years
  fully justified?
• Are all time and effort percentages gt0?

You cannot be too detailed
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Face Page (PHS 398)
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Face Page (PHS 398), cont.
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Just-in-Time

• IACUC Approval
• IRB Approval

Begin process for approvals early-- Awards
could be significantly delayed

• Other Support

More on Other Support Later!
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Budget Categories
Personnel Considerations

• What types of appointment do the participants
  have?
• What is their effort on the project? MUST be
  more than 0
• Has the appropriate institutional base salary
  been included? Show the current institutional
  base salary for all employees including those
  that are starting work in future years
• Is the salary requested consistent with the time
  and effort?
• Is a justification and description included for
  each individuals role in the project?
• Are there any to-be-named positions?

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Additional Personnel Considerations
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Budget Categories
Consultant Considerations

• Who are the consultants and what institutions are
  they affiliated with?
• What portions of the project require advice from
  consultants?
• Does the application include letters of
  commitment from consultants?
• Are the Fees,Travel, and Per Diem costs broken
  down?

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Budget Categories
Equipment Considerations

• Has a survey of available equipment been
  conducted prior to requesting in the application?
• Are equipment items available in nearby
  laboratories which could be shared?
• Is it more economical to rent any of the items
  rather than purchase them?

Consideration of equipment in the out-years will
be based upon justification and budget
availability
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Budget Categories
Supply Considerations

• Are the major subcategories of supplies
  identified, such as animals, chemicals, and
  glassware?
• Where applicable, are unit prices shown?
• How have any usage rates been determined?
• Does any justification match the amounts
  indicated elsewhere in the application?

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Budget Categories
Travel Considerations

• Is the amount requested and reason for the
  anticipated travel consistent with the research
  project and appropriate for the effort devoted by
  the Principal Investigator?
• Is a special justification included for any
  foreign travel?
• Does the justification demonstrate a direct
  benefit to the project?

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Other Support
NIH Policy states that a specific
percentage must be provided http//grants1.nih.go
v/grants/guide/notice-files/NOT-OD-03-054.html
0, Varies, As Needed, etc., are not
acceptable Total percentage cannot equal more
than 100
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Helpful Web Sites
Superfund RFA and Guidelines
http//www-apps.niehs.nih.gov/sbrp/rfa/ PH
S 398 Instructions http//grants1.nih.gov/grants/
funding/phs398/phs398.html Other
Support http//grants1.nih.gov/grants/guide/notic
e-files/NOT-OD-03-054.html Student
Compensation http//grants1.nih.gov/grants/guide/
notice-files/NOT-OD-03-036.html http//grants1.nih
.gov/grants/guide/notice-files/NOT-OD-02-017.html
Salary Cap http//grants1.nih.gov/grants/guidanc
e/guide/notice-files/NOT-OD-03-034.html
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Fiscal and Administrative Issues
Susan Ricci Grants Management Specialist (919)
316-4666 ricci_at_niehs.nih.gov