Modular Applications and Awards

FY 1999 - Modular Grants

Modular Research Grants– Goal of initiative is to redefine the

Research Project Grant as an assistance mechanism and to simplify the process.

– Disengage from complex negotiations of budgets

Modular Grants

Initiative designed to focus the efforts of investigators, institutional officials, and NIH staff on the science NIH supports.

Clarifies use of Just-in-Time procedures and incorporates SNAP to reduce administrative burden and accommodate the investigator’s need for flexibility.

Proposal pilot tested during the past 4 years in over 34 separate solicitations (29 RFAs and 5 PAs).

Modular Grants

Initiative would apply to all competing research project grant mechanisms (R01, R03, R15, R21, R41, & R43) and RFAs up to no more than $250,000 requested direct costs in any year.

Features at a Glance Applies to research grant applications requesting up

to $250,000 direct costs per year. Request total direct costs in modules of $25,000,

reflecting appropriate support for the project. There will be no future year escalations.

A typical modular grant application will request the same number of modules in each year.

Provide budget narrative regarding Key Personnel by position, role, and level of effort.

Include a total cost estimate for any Consortium/Contractual arrangements.

Features at a Glance

Additional narrative budget justification will be required in the application only if there is a variation in the number of modules requested.

Describe specific aims of research projects ongoing or completed during the last three years as part of the Biographical Sketch. The Biographical Sketch will be limited to three pages.

SRG Recommended adjustments of the budget in modules.

Request Other Support information “just-in-time” to determine overlap for likely award candidates.

Features at a Glance

Request (prior to award) additional budget justification “just-in-time” only in exceptional circumstances.

Award at SRG recommended or IC cost management plan level, taking other support into account.

Make non-categorical, total direct cost awards. Eliminate the 25% rebudgeting requirement. Permit all types of administrative supplemental

awards. Checklist to be submitted with the application.

Modular Grants

First year of implementation will be a period for comment.

Formal two-year assessment of the process will follow the first year of implementation.

E-mail to grantsinfo@nih.gov

Discussion and Decision-making Input from NIH staff and advisory

groups– (RPC, POPOF, GMAC, EPMC, PROG,

Advisory Councils) Input from investigators and institutions

– individual investigators and institutions– professional associations

• (FDP, FASEB, AAMC, COGR, NCURA, SRA)

Other Federal staff– HHS, OIG, OMB

The Current Paradigm of Itemized Costs The current process overemphasizes

the apparent precision of itemized costs to a degree that is neither warranted nor feasible (in small to modest-size research assistance awards).

The Current Paradigm of Itemized Costs Requires ever increasing attention to cost

analysis and refereeing allowability of costs, e.g., fringe benefits, secretaries, graduate students, etc.

Suggests a procurement relationship Gives deceptive impression of the precision

of costs and calculations Creates inconsistent pre-and postaward

administration. (Itemized costs, categorical awards, rebudgeting, total cost noncompeting awards, etc.)

“Case for Action”

Support Science not Administrative Effort

Estimate Resources not Itemize Costs Emphasize Assistance Mechanism not

Inconsistent Patchwork of Administrative Features

Achieve Stewardship through Management of Projects, Institutions, and Programs

Objectives

To offer investigators a mechanism of project support that facilitates science and simplifies administration.

To offer NIH staff the opportunity to focus professional expertise where it’s most required.

Modular Research GrantsNew Paradigm - Total Direct Costs

Reinforce grant-in-aid philosophy of supporting research

Facilitates attention to science, rather than itemized cost

Support reasonable total direct costs of a research project

Provide project support based on scientific scope and total direct costs

Offer a competitive research grant mechanism that is the corollary to the postaward Expanded Authorities

Implications Applicant Perspective (investigator and institution)

Reaffirms the Principles of Assistance Improves the Assistance Relationship Eliminates Itemization and Cost Detail

by Categories Eliminates Cost Analysis

Implications Applicant Perspective (investigator and institution)

Provides institutional incentives to optimize allocation and use of funds

Eliminates postaward categorical rebudgeting requirements

Implications NIH Perspective

Emphasizes Programmatic Features of Mechanisms

Increases Focus on Portfolio Management

Decreases Emphasis on Administrative Features of Mechanisms

Saves Administrative Effort

Implications NIH Perspective

Focuses on total direct cost requirements of the approved aims and scope of project

Reduces inappropriate attention to budget detail

Implications NIH Perspective

Provides oversight based on total costs Eliminates preaward cost analysis Eliminates postaward categorical

budget oversight

Modular Research GrantSummary - Application and Postaward Features

Total Direct Cost Applications and Awards Expanded Authorities SNAP Noncompeting Award Process Final Financial Status Report Only Outcomes Based on Scientific Progress Institutional Compliance with Administrative and

Cost Principles Project Monitoring Based on Total Costs and

Scientific Scope

Modular Research GrantsSummary - Compliance and Oversight

Cost Principles and “CAS” apply Costs must be allowable, allocable,

reasonable, and consistently treated Total costs monitored based on scope,

scientific aims, rate of expenditure Institution monitored on basis of

administrative and financial systems