Frequently Asked Questions
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- When should I turn in my proposal to the grants office?
- What do I turn in with my proposal to the Grants office?
- What are the "control points" on a grant submitted to the Grants office?
In other words, what does the Grants Office require to be resolved in order
to release?
- Who's eligible to hold a PAF?
- What units need to sign a Medical School PAF?
- PAF Page 2 – Yes/No questions:
- a. What info should be included with the yes/no questions on the PAF?
- b. When do human approvals expire?
- c. When do animal approvals expire?
- Conflict of Interest issues:
- a. When does conflict of interest exist?
- b. What does the Grants Office do if the conflict of interest is
marked “Yes”?
- What kind of space is listed on a PAF and who is authorized to sign for
which kinds of spaces?
- What considerations are there for a GSRA appearing in a budget?
- How does a GSRA affect your F&A calculation?
- If a subcontract exists, what paperwork is submitted to UM for review?
- Where can I find the earliest possible start dates for an NIH grant?
- On February 1, June 1, and October 1 are all proposals new?
- Where can I find a copy of the NIH research proposal directions and form
pages?
- What are the standard answers on the NIH face page?
- What is the significance of the answers in 3e and 3f on an NIH face page?
- Which NIH face page numbers have to match the internal PAF?
- When the Grants office initially reviews the face page, which answers
have to wait to be checked until the rest of the grant is checked?
- Does an abstract need to be submitted to the Grants office?
- How much info should be listed for performance site on the abstract page?
- What is the definition of Key Personnel for the NIH Abstract Page?
- Which titles does NIH technically not recognize?
- Biosketches—Who needs one? How many pages? What should be
included?
- When is Other Support submitted to NIH?
- Resources--what does the Grants office look for and what do they compare
it to?
- Science--do we need it? Or, better yet, when do we need it?
- What are three standard answers on the checklist?
- What are the standard Federal exclusions from the Facility & Administrative
(indirect cost) calculation?
- What is the rule about treating subcontracts in our F&A calculation?
- What kinds of proposals qualify to be submitted in modular format?
- What are a modular proposal’s general financial characteristics?
- How are modulars different from traditional proposals?
- What parts of a modular grant need to be submitted to the Grants office
for review?
- What form page do you use for a modular budget?
- What do you put in a modular budget financial grid?
- Name the categories that have to be justified and the details within each
that must be included in the modular budget justification.
- Since the grant is modular, and we provide no budget detail, how does
the Grants Office know what the exclusions are?
- What places in the modular proposal do you cross check to make sure that
appropriate exclusions have been captured?
- How are K Awards different from Research submissions?
FAQs ON PROPOSAL REVIEW
IN THE GRANTS OFFICE
When should I turn in my proposal to the grants office?
The Grants office requests proposals 7 working days prior to proposal deadlines. They
review the proposals as quickly as possible in the order that they are received.
The official policy can be found here:
http://www.med.umich.edu/medschool/grants/policy.html
What do I need to turn in with my proposal to the Grants office?
You should submit the original and a copy of all of the administrative paper
work. If you have a copy of the instructions or a link where they are
available on line, those should also be submitted.
For more specific components we need to review, please see the website that
details out “parts” for particular types of submissions:
http://www.med.umich.edu/medschool/grants/routingchecklists.htm
What are the "control points" on a grant submitted to the Grants office?
In other words, what does the Grants Office require to be resolved in order
to release?
· The Medical School requires resolution on budget and effort issues.
· The Medical School requires the correct signatures from all departments/schools
involved.
· The Medical School requires resolution of any inappropriate institutional
assurances.
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FAQs ABOUT THE PAF
Who's eligible to hold a PAF?
Anyone that has an independent faculty appointment as dictated in the Standard
Practice Guide. At the Med School, we routinely recognize anyone with one
of the following titles:
| Professor |
Clinical Professor |
Research Scientist |
| Associate Professor |
Clinical Associate Professor |
Associate Research Scientist |
| Assistant Professor |
Clinical Assistant Professor |
Assistant Research Scientist |
|
|
Research Investigator |
For the possibility of a Lecturer, please call the Grants Office for help.
What units need to sign a Medical School PAF?
· The PI’s department regardless of the PI’s effort
· All other departments who have a faculty member with effort on the
project
· If any of these participating faculty members are from a department
outside of the Medical School, that respective school’s Dean’s
Office
· All departments with space on the PAF must have someone authorized
approve
PAF Page 2 – Yes/No questions:
a.What info should be included with the yes/no questions on the PAF?
All the boxes under activities section of the PAF must be checked yes or no
(page 2). If the answer is yes, the corresponding question at the right
must be filled in. The Conflict of Interest statement should be answered
yes or no and checked by the PI, not computer generated, and the signature
must always be included.
b. When do human approvals expire?
Human approvals expire one year after the approval date
c. When do animal approvals expire?
Animal approvals expire three years after the approval date
Conflict of Interest issues:
a. When does conflict of interest exist?
A conflict of interest may arise when a faculty member at the University has
significant financial or personal interest in the company that is funding
the sponsored project. If they or anyone participating on their project
has significant interest they are obligated to check yes on the conflict of
interest statement on page two of the PAF. The PI answers the question
on behalf of all participants, so they should check with others on their status
before signing.
Also, any project that involves participation from an outside company or
entity that is owned by a member of the University faculty inherently has
a statutory conflict of interest under the State of Michigan law. Even
though the PI or participating faculty does not have a direct conflict of
interest, the PAF should still be marked Yes.
b. What does the Grants Office do if the conflict of interest is marked
“Yes”?
If a proposal comes through the Medical School grants office with conflict
of interest checked Yes, we add a statement that reads, “ A copy of
this proposal has been sent for conflict of interest review and a management
plan must be in place before an award can be made,” to the second page
of the PAF. The entire proposal is then be copied and sent over to the
Conflict of Interest Review Board so that they are notified.
What kind of space is listed on a PAF and who is authorized to sign for
which kinds of spaces?
All lab/research space is required to be listed on the PAF. If
all of the research is done in an office instead of a lab, than that office
space should be listed on a PAF. Only the designated space signers that
are responsible for the space may sign. The list of authorized Medical
School signers may be found at:
http://www.med.umich.edu/medschool/grants/auth_signer.html
Authorized signers or contacts for other schools may be found in the Blue
Pages:
http://cgi.research.umich.edu/web_bluepages/web_bluepages.lasso
Hospital space used is authorized by the clinical administrator of
the department occupying the space. The hospital administration
has given signature authority only to the administrators.
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FAQ ABOUT BUDGETS (GENERAL)
What considerations are there for a GSRA appearing in a budget?
Under the University negotiated contract, a GSRA may have only 0.5 FTE effort to do research, while the other 0.5 FTE is assumed to be spent in course work. The university HR system will show the GSRA employment FTE as 0.5. Therefore, if 0.5 FTE is spent on research, then the research is considered 100% of the university appointment. When entering salary in detailed budget pages, list the stipend (University Compensation Rate), along with 100% University effort or 6 calendar months.
If only a portion of the GSRA’s time is spent on the project, divide the dedicated FTE (for instance 0.3 FTE on a project) by 0.5 for the effort % to represent or multiply the FTE spent by 12 months for the calendar months.
The salary requested on the budget format may appear incorrect, even when it is accurate. The following sentence may be added to the justification for clarification:
“GSRAs have a .5 FTE appointment at the University and the base salary reflects the reduced appointment.”
In addition to this statement, if the PI feels compelled to explain the employment arrangement in the justification, there are a few options that are approved by the Medical School:
“X will devote 100% of her appointment to this project. Under University of Michigan policy, GSRAs are contracted appointments of 6 calendar months.”
“X will devote 6 calendar months, which is equal to full time research effort for a GSRA.”
“X will spend his full university appointment, which, under GSRA contract, is 6 calendar months.”
Additionally, tuition is required when the GSRA has a .2 FTE or 40% of their university appointment dedicated to a project. If the GSRA is on multiple projects, then tuition may be shared in proportion to the effort spent between the projects.
How does it affect your F&A calculation?
Tuition for the GSRA must be excluded from you F&A calculation
If a subcontract exists, what paperwork is submitted to UM for review?
We need a signature for their institutional commitment - this may be in the
form of an NIH face page or a letter of agreement. We need to see their
detailed budget pages, and any administrative pages submitted on their behalf.
These may include biosketches for Key Personnel, resources, or checklist.
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FAQs ABOUT NIH PROPOSALS
(GENERAL)
Where can I find the earliest possible start dates for an NIH grant?
This is listed on the NIH website: http://grants1.nih.gov/grants/funding/submissionschedule.htm
February 1, June 1, and October 1 are all proposals new?
No, all program projects and center grants are due on Feb 1: whether they
are new, continuations, or revised. See review and receipt schedule
link above.
Where can I find a copy of the NIH research proposal directions and
form pages?
http://grants1.nih.gov/grants/forms.htm
What are the standard answers on the NIH face page?
3f. Major Subdivision: Medical School
4b. Human Subjects Assurance No.: FWA00004969
5b. Animal Welfare Assurance No.: A3114-01
Applicant Organization: The Regents of the University of Michigan
Type of Organization: State
Entity ID: 1-386006309-A1
Duns No.: 073133571
Cong. Dist.: 15
Administrative Official: Terri Maxwell
Official Signer: James R. Randolph (DRDA can always change if Jim isn't
there to sign or it is also acceptable to leave blank.)
Other common required information is available on the DRDA website:
http://www.research.umich.edu/proposals/proposaldata.html
What is the significance of the answers in 3e and 3f on an NIH face page?
These answers directly affect the Medical School ranking in the NIH rankings.
3f should always be Medical School for our faculty. 3e should be the
PI’s primary department even if they are submitting through the university
on a center/unranked department organization code or department ID.
Which NIH face page numbers have to match the internal PAF?
The sections on the face page that must match the PAF are:
1. Title of Project
3a. Name- The name listed for NIH should be the project investigator.
If the person is eligible to hold a PAF under the SPG definition, then the
name would be the same on the PAF. If they are not eligible to hold
a PAF under the SPG, then the PI on the PAF would be a mentor, sponsor, or
supervisor of the applicant.
4. Human Subjects, yes or no
5. Vertebrate Animals, yes or no
5a. If yes, the IACUC approval date should match the PAF
6. Dates of support
8.Costs Requested For Proposed Period of Support, should match the sponsor
column on the PAF
When the Grants office initially reviews the face page, which answers
have to wait to be checked until the rest of the grant is checked?
When initially reviewing the face page, you cannot check the proposal costs
until you have checked the budget and the checklist.
Does an abstract need to be submitted to the Grants office?
Although a draft of the abstract is preferable, we will accept the abstract
page completed with Performance Site and Key Personnel along with either a
draft of the science OR a separate document with a couple sentences explaining
the scope and intent of the project. We are interested in retaining
a record of the proposed science (at least in overview) to be completed, not
in the actual box being completed on the form page.
How much info should be listed for performance site on the abstract page?
NIH asks for is Organization, City and State.
Example:
University of Michigan
Ann Arbor, MI
What is the definition of Key Personnel for the NIH Abstract Page?
Participants are considered Key Personnel if they contribute substantially
to the science of the proposal, whether they are paid or unpaid. If
the person is replaceable with someone else doing the same job, they shouldn’t
be considered key personnel. If the individual is important to the science
because of their knowledge or expertise, then they should be key personnel. As
of December 2003, in their newly issued Grant Policy Statement, NIH changed
their policy. NIH now specifically states that if a person is unefforted
they should not appear as Key Personnel.
In response to this change of policy, UM is aware that NIH will be (eventually)
adding a category of Other Significant Contributor as a place to add these
participants that are significant to the execution of the project but that
are unefforted. We recommend that investigators use this terminology
even now in order to be in compliance with the December GPS.
If a proposal has a person with no effort listed on the abstract page, the
Medical School Grants Office will point that out in review, but it will be
at the discretion of the PI if they change it -- at least until NIH has formally
announced the new category.
Example:
Key Personnel
Lichter, Allen
University of Michigan Principal
Investigator
Woolliscroft, Jim University of Michigan
Co-Investigator
Other Significant Contributors:
Bloom, David University
of Michigan Consultant
Where Drs. Lichter and Woolliscroft have assigned effort and Dr. Bloom is
a 0% consultant.
Which titles does NIH not recognize?
NIH doesn’t recognize the titles collaborator or Co-PI. NIH requires
one person to have overall responsibility for the project as stated in their
Grant Policy Statement; therefore, Co-PI is unrecognized. Only one person
should be labeled the PI.
To replace the term Collaborator, NIH would like either "consultant" or "co-investigator"
to be used, depending on the level of input into the science, not necessarily
the level of effort. Generally a participant may be labeled a co-investigator
with 0% effort if they significantly impact the direction of the science.
Similarly, a participant may be labeled a consultant with stated effort, if
they are contributing expertise that they would use on any other project and
not significantly impacting the direction of the research.
Biosketches—Who needs one? How many pages? What should be
included?
· You must have a biosketch for every person listed on the abstract
page under key personnel.
· They are limited to 4 pages in length; sections A & B are limited
to maximum of 2 printed pages (including the box that is part of section A)
2 pages and section C can use the rest of the 4 pages.
· Section B should only included peer-review publications
· Section C- Research support- The Research Support section of the
biosketch should include Ongoing or Completed, Related research in the last
3 years. There should not be any dollars or effort listed
A full discussion of Biosketches and Other Support may be found at:
http://era.nih.gov/docs/biosketches.pdf
When is Other Support submitted to NIH?
For unsolicited research proposals, other support is not submitted.
There is a possibility that in response to a particular RFA, the instructions
may ask for it specifically. All other times are when directly requested
by NIH.
A full discussion of Biosketches and Other Support may be found at:
http://era.nih.gov/docs/biosketches.pdf
Resources--what does the Grants office look for and what do they compare
it to?
On the resources page we look for any commitment of space. We double-check
that it is appropriate and that the proper signatures have been obtained for
the PAF. We make sure that is clinical space is cited, that the clinical
space signature has been obtained. We check to see if ULAM is mentioned
and make sure that animals have been included in the budget and Yes/No disclosures.
Science--do we need it? Or, better yet, when do we need it?
We only need to see the draft of the science if the abstract box is blank
and that is what they are using for their statement of work.
What are three standard answers on the checklist?
· DHHS agreement dated boxed should be checked and the date listed
should be 6/28/02.
· Modified total direct costs base box should be check
· Smoke-free work place box should be checked.
What are the standard Federal exclusions from the Facility & Administrative
(indirect cost) calculation?
· Equipment- defined as something in which the cost is equal to or
greater than $5,000 and has a useful life of greater than 2 years
· Tuition
· Each subcontract after its first $25,000
· Animal care, when it includes the SSF fee
· Patient care- these costs are excluded if
- costs proposed include a built in overhead by the unit charging
or
- costs are part of the normal course of care for a patient
· Alterations & renovations
· Rental space
What is the rule about treating subcontracts in our F&A calculation?
Any costs (direct and F&A) over $25,000 are excluded through the life
of the project. That means UM only collects F&A on the first $25,000
of each subcontract, not the first $25,000 each year.
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FAQs ABOUT NIH MODULAR PROPOSALS
What kinds of proposals qualify to be submitted in modular format?
Proposals that are R01, R03, R21 and have direct costs that request $250,000
or less in every year. Also, it may be required on proposals in which
the particular RFA announcement asks for a modular budget.
http://grants2.nih.gov/grants/funding/modular/modular.htm
What are a modular proposal’s general financial characteristics?
Modular budgets are $250,000 or less direct costs per year- requested in up
to ten $25,000 modules. NIH expects proposals that have fairly consistent
charges to average all 5 years to come up with a consistent module request
for each of the 5 years. In some cases, exceptional purchases (equipment,
additional personnel, etc.) may cause proposed costs to spike and valley in
particular years. In these cases, the number of modules requested may
be different over the 5 years as long as it is addressed in the justification.
How are modulars different from traditional proposals?
Other than presentation of the budget forms and justification, all aspects
of the submission are like the traditional NIH proposal.
What parts of a modular grant need to be submitted to the Grants office
for review?
· PAF
· Face Page
· Abstract Page
· Modular Budget and Justification Page
· Bios for all Key personnel listed on abstract page
· Resources and Environment page
· Checklist (exclusions from the checklist should be included on the
PAF notes section)
· If you would like to include your internal budget, we will review
it, but it is not required.
What form page do you use for a modular budget?
You should use the modular budget format page in the PHS 398 forms.
http://grants1.nih.gov/grants/forms.htm
What do you put in a modular budget financial grid?
In each of the years that you are requesting funding you should reflect the
dollars that you are requesting in $25,000 modules.
Name the categories that have to be justified and the details within each
that must be included in the modular budget justification.
You must justify:
· All personnel, paid or unpaid
-Name (Joe Smith or TBA)
-Role on project (Principal Investigator, Research
Associate, Lab Assistant)
-Percent Effort
-Description of duties
· All Subcontracts
-Name of subcontractor
-Domestic of Foreign status
-Their total (direct and F&A) costs rounded to the nearest thousand
-Justification of all personnel at the site with the same 4 components listed
above
· Any changes in module amounts, spikes or
valleys
** Modular justifications should not include dollar
amounts other than subcontract totals**
Since the grant is modular, and we provide no budget detail, how does the
Grants Office know what the exclusions are?
On modular proposals, F&A (indirect cost) calculation exclusions should
be listed under the notes section on the PAF so that the department, school,
and DRDA are aware of your cost considerations.
What places in the modular proposal do you cross check to make sure that
appropriate exclusions have been captured?
· If there are animals on the face page or the resources, chances are
they include the ULAM Specialized Service Facility Fee and should be excluded.
· If there is a GSRA in the budget, there should be tuition
· If there is a spike in the budget, there may be equipment
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FAQs REGARDING NIH K AWARDS
How are K Awards different from Research submissions?
K Awards are part of the career award series, unlike a regular research award
series (R). K Awards don’t require a checklist. The budget
form is also different. K awards use the entire budget form (traditional
form page 5), but only the total direct cost line of the budget is filled
out. K awards require an institutional commitment letter. The biosketch
for the candidate on K awards is modified compared to the regular biosketch.
K awards require that other support is submitted for mentors at time of application,
but regular research awards use just-in-time concepts for other support.
A full discussion and guidance on K Awards is available at:
http://www.med.umich.edu/medschool/grants/nihk.htm
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