1. BUDGET BASICS FOR ADMINISTRATORS TIJUANNA DECOSTER, PH.D., MPA CHIEF GRANTS MANAGEMENT OFFICER NATIONAL INSTITUTE OF NEUROLOGICAL DISORDERS AND STROKE MAY 2015

2. TOPICS OF DISCUSSION 1.Starting the process 2.Types of budgets 3.Electronic submission 4.Budget submission errors 5.Pre-award 6.Post-award 7.Closeout

3. STARTING THE PROCESS Applications submitted to the NIH must be in response to a Funding Opportunity Announcement (FOA). Carefully read the FOA. Information in the FOA should be reflected in the application such as: 1. Period of support (number of years for support) 2. Dollar limit of support (for example $100,000 TC or $100,000 DC) 3. Salary cap level (currently $183,300); NOT-OD-15-049 4. Type of budget submission (modular or categorical) 5. Submit the application by the prescribed due date

4. TYPES OF BUDGETS Modular vs Categorical (non-modular) Beginning June 1, 1999 modular grant applications and award procedures were applicable to all competing individual research project grants (R01), small grants (R03), and exploratory/developmental grants (R21) for requests of $250,000 or less. Modular grant applications have expanded to many different mechanisms. Modular budgets: Grant applications with a budget request (direct costs) of $250,000 or less. Request are submitted in modules of $25,000. Categorical budgets: Grant applications with a budget request of $250,000 or more. Actual costs are requested in the appropriate category.

5. TYPES OF BUDGETS Applications requesting more than $500,000 direct costs must have permission from the awarding institute to submit an application. Facilities and administrative (F&A) or indirect costs (IDC) are excluded from consortia costs. Program Specific Budgets: Small Business Innovation Research Awards /Small Business Technology Transfer (SBIR/STTR)—R41, R42, R43, R44 Ruth L. Kirschstein National Research Service Awards (Fellowships and Training) Research Career Development Awards---K awards

6. ELECTRONIC SUBMISSIONS All competing applications use the electronic process, SF424 to submit grant applications. Also, this includes multi-project proposals. http://www.grants.nih.gov/grants/guide/notice-files/NOT-OD-13-075.html

7. COMMON BUDGET SUBMISSION ERRORS 1.Exceeding FOA budget amount 2.Budget exceeds $500,000 and did not request permission to submit request 3.Modular budget request did not request F&A for consortia 4.Costs in budget differ from justification 5.Salaries exceeds the NIH salary cap 6.Calendar months effort does not equate to the requested salary 7.Miscalculation of F&A 8.Used a modular budget when a categorical budget was appropriate 9.Waiting until the last minute to contact NIH on budget clarification questions

8. PRE-AWARD COSTS What are pre-award costs? Any cost incurred prior to the beginning date of the project period or the initial budget period of a competitive segment (under a multi-year award), in anticipation of the award and at the applicant's own risk, for otherwise allowable costs (NIH Policy Statement). NIH allows up to 90 days of pre-award costs prior to the start date of a competitive (Type 1 or Type 2) award. Costs starting at 91 days or greater require NIH approval. Pre-award costs are incurred at the grantees own risk and expense.

9. POST-AWARD ACTIONS 1.Read the terms and conditions 2.Verify budget request along with the funding institute funding policy (administrative reductions) 3.If funds are restricted, adhere to the restriction and comply with the needed documents in order to rescind the restriction 4.Follow the funding regulations and policies. If not it could result in unallowable costs and having to reimburse the NIH/Federal government 5.If you have questions, contact the Grants Management Specialist---we are here to help!!!!!

10. CLOSEOUT What is closeout? Closeout is process by which a Federal awarding agency determines that all applicable administrative actions and all required work under an award have been completed by the grantee and the Federal awarding agency. Why is closeout so important? This is the process in which federal awarding agencies collect the undispersed funds, review the final progress reports for completion of the project and to ensure that inventions are reported. The Uniformed Grants Guidance has increased the reporting due dates from 90 days to 120 days.

11. CLOSEOUT The policy chapter directs OPDIVs to initiate “Unilateral closeout” (closeout without the operation of the grantee) 180 days after the project end date if it has not received acceptable final reports required by the terms and conditions of an award, after making reasonable efforts to obtain them. OPDIVs must close all awards no later than 270 days after the project end date. The Grants Policy and Administration Manual (GPAM) Chapter 1101 requires that the Chief Grants Management Officer (CGMO) consider taking one or more enforcement actions in addition to unilateral closeout. If an enforcement action is taken, or a future action is planned, it must be documented in the ICs grant file.

12. TIPS 1. Read the FOA 2. Read the terms and conditions 3. Understand the requirements of the funding that is being requested (SBIR, budget limitations, etc) 4. Submit the correct budget format (modular/categorical) 5. Avoid budget submission errors 6. Understand pre-award costs (what’s allowable) 7. Manage the award appropriately 8.Submit closeout documents in a timely manner 9.Ask questions

13. REFERENCES SF424 (R&R) Application and Electronic Submission https://grants.nih.gov/grants/funding/424 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-13-075.html NIH Modular Research Grant Applications http://grants.nih.gov/grants/policy/nihgps_2013/nihgps_ch13.htm http://grants.nih.gov/grants/funding/modular/modular.htm Salary Cap Limitation http://grants.nih.gov/grants/guide/notice-files/NOT-OD-15-049.html NIH Grants Policy Statement http://grants.nih.gov/grants/policy/nihgps_2013/

14. QUESTIONS THANK YOU FOR YOUR TIME Tijuanna E. DeCoster, Ph.D., MPA Chief Grants Management Officer Certified Grants Manager (CGMS) National Institute of Neurological Disorders and Stroke Branch Phone Number: 301-496-9231 Fax Number: 301-402-0219