Information on 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 inclues a total cost estimate for any Consortium/Contractual arrangements.

The NIH Modular Grant eliminates the 25% post-award rebudgeting requirement.

Instructions:

  1. Submit the following to SPS 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 SPS 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 SPS 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 Budget Worksheet, 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)
  2. Refer to the Quick Reference Guide to Application Forms when preparing the forms to be submitted to NIH with the proposal.

Hints, Tips, and Reminders:

  • All Personnel must be listed on the Budget Justification Page with a percentage of effort and a description of responsibilities. This includes consultants.
  • 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.
  • 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 congizant 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.

Quick Reference Guide to Application Forms:

PHS Form 398 What is Different for a 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. Use the internal NIH Budget Worksheet to help prepare your budget and derive the numbers to put in these fields.
BB (Abstract) No change
CC (Table of Contents) Type "NA" for Detailed Budget (DD) and for Other Support (GG)
DD (Detailed Budget)
and
EE (Multi-Year Budget/Justification) 		Replace these two forms with the Modular Budget Justification Page. Required items include:
  • Total Direct Costs Requested (All years combined)
  • Total Direct Costs Requested (Each Year - normally this will be the same number of modules for each year.)
  • 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.
  • Subcontracts/consortium arrangements
    • Name of subcontractor
    • Cost of subcontract by year (direct cost + subcontractor's F&A cost combined) to nearest $1,000 (Subcontracts are not awarded in modules.)
    • Role on project.
    • Names of subcontractor's key personnel and their % effort.
    • Indicate whether subcontractor is domestic or foreign.
  • If you are requesting a different number of modules in any one year, provide a 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, follow the regular PHS 398 budget format in lieu of the modular format.
FF (Biographical Sketch) Increase page limit from 2 pages to 4 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.

Note:  Items A (positions and Honors) and B (Publications) may not together exceed two of the four-page limit.
GG (Other Support) Required "Just In Time" to determine overlap for likely award candidates. (Selected information is now captured in Form FF--Biosketch -see above)
HH (Resources) No change
II (Checklist) Complete as usual.
JJ (Personnel Report) (Renewals Only) No change
KK (PI/PD Personal Data form) No change

Contact Information:

Sponsored Projects Services
402 Crofts Hall
Buffalo, NY 14260-7016
Telephone: (716)-645-5000
Fax: (716)-645-2760
info@research.buffalo.edu

Resources

Lookups