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Office of
Research and Sponsored Programs

 

APPLYING FOR AND ADMINISTERING MODULAR GRANTS

Effective June 1, 1999 date, use Modular Grant format for all R01, R03, R15, R21, R41, R43, and RFA applications requesting $250,000 or less for 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 addition to these pages, be sure to check NIH's Modular Research Grants Applications Web Page.

Modular Quick Reference Guide:

 

PHS Form 398 What is Different for Modular Grant
AA (Cover Sheet) 7a and 8a must show direct cost amount requested in $25,000 modules up to $250,000 per year of the grant (e.g., "$175,000). Work with ORSP to prepare your budget and derive the numbers to put in these fields.
BB (Abstract) No change
CC (Table of Contents) Use "NA" for Detailed Budget (DD) and for Other Support (GG)
DD (Detailed Budget ) Deleted.
EE (Multi-Year Budget/Justification) Deleted. Replace with NIH Modular Grant Budget Justification. See ORSP template for this form in Word or iPDF

Required items include:

·      Total Direct Costs Requested (All years combined)

·      Total Direct Costs Requested (Each Year - normally this will be the same # of modules for each year, unless there is a major change in the planned expenses, which would need to be explained in budget justification)

·      Names of ALL personnel by position, role, and level of effort. This includes consultants and any “to be appointed” positions. Biosketches should be submitted for Key personnel, including consultants.

·      (Key personnel may not be shown as 0% effort on a project.) For faculty with 9-month appointments, the percentage effort on the budget justification should distinguish between academic year and summer effort. Please note that Cal State L.A. does not voluntarily cost-share academic year time on a grant. That is, any effort proposed on a project should be included when determining the number of direct cost modules and should be directly charged to the sponsor. If cost-sharing is desired, it must be documented on the Approval Form for Externally Funded Contracts and Grants. Cost-sharing commitments should be included on the NIH budget justification page.

·     Subcontracts/consortium arrangements

·      Name of subcontractor

·      Cost of subcontract by year (direct cost + subcontractor's F&A cost combined) to nearest $1,000 (not awarded in modules)

·      Role on project.

·      Names of subcontractor's key personnel and their % effort.

·      Indicate whether subcontractor is domestic or foreign.

·      Include a letter of commitment or intent if there is a subcontract/consortium.

·      If requesting a different number of modules in one year, provide detailed explanation of why this is appropriate

Note: Amount requested may not exceed $250,000 in direct costs for any single year of the proposal. If it does, use the regular PHS 398 requirements in lieu of the modular format.

FF (Biographical Sketch) Increase page limit from 2 pages to 3 pages to accommodate 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 individual's major goals and responsibilities for each project.
GG (Other Support) Deleted (but selected information now captured in Biosketch -above)
HH (Resources) No change
II (Checklist) Complete as usual. Applicant institutions should calculate the Facilities and Administrative (F&A) costs using the current negotiated F&A rate, less exclusions, for the initial budget period and all future budget periods. It is not necessary to list the exclusions on the Checklist nor anywhere in the application.
JJ (Personnel Report) (Renewals Only) No change
KK (PI/PD Personal Data form) No change

NON-COMPLIANT MODULAR GRANT APPLICATIONS

NON-COMPLIANT if: 1. The requested direct cost budget is not in modules of $25,000 for all years of support for requests up to $250,000 per year. 2. A detailed itemized categorical budget is provided. 3. The Budget Narrative Justification page includes an itemized justification for one or more of the following: equipment, supplies, travel, other expenses, etc. but the number of modules requested in each year is the same, or the information is not intended to explain the request for a different number of modules in one or more years. 4. OTHER SUPPORT pages are supplied, in addition to or in the absence of the section in the Biographical Sketch identifying “Research Projects Ongoing or Completed During the Last Three Years.” 5. The Biographical Sketch lists “Current and Pending Support” instead of or in addition to the required information.