Tips for Developing Other Support, Budget Justifications & biosketches

1. Tips for Developing Other Support, Budget Justifications & biosketches Bio Med Research Administration May 23, 2019 Time10:00 Alpert Medical School, Room 280

2. Agenda • Other Support • Purpose • Definitions • Types, Format & Timing of submission • Resources for Developing Other Support • Budget Justifications • Detailed budget Justifications • Modular • Biosketch Format Reminders • NIH Style • NSF Style • Proposal Reminders • Q&A

3. Acknowledgements Adapted from UCSF Other Support presentation with permission from Catherine Dunn.

4. Purpose of Other Support Submission of Other Support assists the sponsor in identification and resolution of potential overlap • Determine if key personnel are over committed (more than 100% or 12 months * when effort for proposal is added to effort from other research active support) • Check for overlap of scientific goals or financial support with existing awards • Snapshot in time of all the sponsored activities in which identified individual is engaged * Be aware of appointment type and clinical, teaching, and or administrative requirements. Research effort may need to be capped at less than 100% to allow time for those activities

5. Definitions • Other Support • Includes all financial resources, whether Federal, non-Federal, commercial or organizational, available in direct support of an individual’s research endeavors, including, but not limited to, research grants, cooperative agreements, contracts, or organizational awards. Other support does not include training awards, prizes, or gifts. • Committed Effort • Time committed to a sponsored project, may or may not equal salary paid from the project budget • Overlap • Scientific goals and/or financial support that would duplicate or partially duplicate proposal under review

6. When is Other Support Requested • For NIH • Just-In-Time : Identifies potential overlap and proposed resolution • Progress Reports (RPPR): Provided only if there’s been a change in support • Occasionally at proposal submission (check FOA) • Example would be for mentor on K-Award • For Other Sponsors depends on their guidelines & format may be different • For example, NSF is currently* at the proposal stage

7. Sample NIH Other Support - JIT • A sample Other Support page is available in .doc and .pdf formats on the NIH Website at https://grants.nih.gov/grants/forms/othersupport.htm • Information on active and pending other support is required for key personnel, excluding consultants • For individuals with no active or pending support, indicate “None” • The application for which Other Support was requested should not be included in pending list • If support is provided under a consortium/subcontract or is part of a multi-project award, indicate the project number, PI and source of support for the overall project and provide all other information for the subproject only.

8. NIH Other Support Format -JIT The following information should be listed for each research project: • Project Number–If the sponsor identifies the grant with a code or number, include this. • Source–Identify the sponsor that is providing the funding. • PI name -If Key person if not PI then also indicate Key Person role) • Title of Project (or Subproject) • Major Goals–A brief statement of the overall objectives of the project, subproject, or subcontract. • Dates of Approved/Proposed Project–The inclusive dates of the approved/proposed competitive segment. • Annual Direct Costs–For active projects, the current year’s direct cost budget amount should be listed. For a pending project, the proposed direct cost budget for the initial budget period should be listed. • Person Months(Formerly Percent Effort) –For an active project, provide the level of actual effort in person months (even if unsalaried) for the current budget period. Person months should be classified as academic, calendar and/or summer. For a pending project, indicate the level of effort in person months as proposed for the initial budget period. In cases where an individual’s appointment is divided into academic and summer segments, indicate the proportion of each devoted to the project. • Overlap–For each key personnel, after all the Other Support is listed, there should be a summary of any potential overlap with the active or pending projects and this application in terms of science, budget or committed effort

9. NIH RPPR Other Support • New key personnel added to the award • Provide only active support • Change in other support for existing key personnel • Include the award you are reporting on in Active list • Do not include Pending • List Inactive

10. NSF Current and Pending Support Format NSF C&P differs from NIH OS: • Submitted at proposal stage* • NSF requires proposed project be included • Total award amount for the entire award be listed • Location of Project • Planned Submissions included • See NSF Application Guide for complete NSF Other Support Requirements https://www.nsf.gov/pubs/policydocs/pappg19_1/pappg_2.jsp#IIC2h

11. Resources for Developing Other Support • COEUS Current & Pending Report • From Departmental Tab Choose Personnel • In Person Search Window search by Investigator Name • Select Investigator from search results • From Edit Menu choose “Current and Pending Report “ • Choose “Save As” from File menu • Previous Other Support Docs • Workday Distribution • Work with your PI

12. Common Mistakes with Other Support • Information from the research section of the biosketch is mistaken for other support. • Information from Biosketch is cut and pasted into other support document without updating or adding extra information required in other support • Effort is not always equal to Salary charged (NIH CAP) or to Investigator Effort from COEUS Current & Pending Report (Average over life of award) • Generally not acceptable to list 0 months effort, unless reporting an equipment grant

13. Types of Overlap • Commitment overlap: • when a person’s time commitment exceeds 100 percent (i.e., 12 person months), whether or not salary support is requested in the application. • Scientific overlap: • substantially the same research is proposed in more than one application or is submitted to two or more different funding sources for review and funding consideration • a specific research objective and the research design for accomplishing that objective are the same or closely related in two or more applications or awards, regardless of the funding source. • Budgetary overlap: • duplicate or equivalent budgetary items (e.g., equipment, salary) are requested in an application but are already provided for by another source.

14. Sample Overlap Statements • Commitment “There is commitment overlap for Dr. Smith between R01AG123456-01 and the application under consideration. If this application is funded Dr. Smith will request approval to reduce her effort on R01AG123456-01. • Scientific “There is scientific overlap for Dr. Smith between Aim 2a. of R01AG123456-01 and the application under consideration. If the application is selected for funding Dr. Smith will work with NIH staff to adjust the budget and workscope to remove overlap.

15. Differences between Other Support for JIT , RPPR, and Biosketch research support section

16. Challenges and Complexities • Other Support is a “living document” • Update to reflect changes in effort due to newly submitted applications, newly funded awards, recently expired awards and to reflect No Cost Extensions • Committed effort is assumed to remain at the same level as funded years unless a change is requested and approved by Sponsor • K Awards • Should reflect protected time • Additional projects should show individual commitments with an overlap statement • VA appointments • List sources of research support by appointment as detailed in MOU, providing standard information for each project. Include enough information on the appointment type so an assessment can be made (6/8 VA appt)

17. Other Support can be a Balancing Act • Other Support must be consistent with: • Effort Reports • RPPR All Personnel Reports • Memorandum of Understanding (MOU)

18. Budget Justification Purpose In addition to an itemized budget most sponsors require that a budget justification or budget narrative be included in an application • In the budget justification PI’s are given a chance to articulate how the funds requested are essential to meet project goals and in relation to the aims and methodology of the project. • Well prepared and documented budget justifications demonstrate to the sponsor that the PI has given project costs a thorough and careful review.

19. Detailed Budget Justification Tips • Follow the same order as the itemized budget form so reviewers can easily compare the two documents. • Provide sufficient detail to justify the purchase under the proposed project. Explain how the purchased item will be used in conduct of the project • Do not merely restate the proposed expenditure • Provide a breakdown of calculations used to arrive at the amount requested for each budget category • Ensure everything in your research plan which would incur a cost is shown in budget & justification • Follow Sponsor Requirements ( page limitations, justifying special items of cost)

20. Select Items of Cost • Salaries & Fringe benefits • Supplies • Equipment • Travel • Other • F&A Rates • Budget Justification Sample and Best Practices can be found on BMRA website https://drive.google.com/a/brown.edu/file/d/0Bwogn9qEHH8fV0o4SjNBeEItRWs/view

21. Salaries & Fringe Benefits • Salaries • Personnel costs make up the largest component of most budgets. Include only Brown personnel. Non-Brown personnel should be budgeted as consultants or as consortium/Subawards • When budgeting administrative and clerical personnel the justification must document how all of the following criteria are met • Administrative or Clerical services are integral to the project or activity • Individuals involved can be specifically identified with the project or activity • Such costs are explicitly included in the budget or have prior written approval of the funding agency • The costs is not recovered as indirect costs • Fringe Benefits • Should state that Fringe Benefits are calculated as a percent of salary and provide a list of applicable rates from Brown’s negotiated rate agreement ( full time, part-time and students during summer months only)

22. Supplies • Are defined as expendable items that cost less than $5000 per unit. • Provide a breakdown of the materials and supplies needed, a description of the items and explanation for why they are necessary in your project • Show how costs were calculated ( e.g. 25 assay kits X $43.00 each = $1,075) • Computing Devices costing less than $5,000/unit but not solely dedicated to performance of the award may be charged to the project under following circumstances • The devices are essential and allocable to the performance of the award in that they are necessary to acquire, store analyze process and publish data and other information electronically • The project does not have reasonable access to other devices or equipment that can achieve same purpose

23. Equipment • Item must cost at least $5,000 with a useful life of more than one year, can be appraised for value, and is complete in itself. That is, it does not lose its identity when affixed to or installed in other property. • Identify methods and or experiments for which specialized equipment will be used • Provide a strong justification if you are requesting upgrades to current equipment • General-Purpose equipment is unallowable as a direct cost, except with prior written approval of the awarding agency.

24. Travel • For each trip state the location of the meeting or need for travel (field site or collaborator lab) and break out the following expenses • Ground Transportation ( taxi, bus, mileage) • Air Transportation ( specify cost and if round trip) • Lodging ( indicate room rate X # of days) • Subsistence or per diem ( per diem X # of days in travel) • Domestic and Foreign travel must be listed separately

25. Other Costs • Graduate Student Tuition and Fees • Brown Policy requires that Graduate Tuition and Fees be budgeted in proportion to effort devoted to the project • Consultants • List name, detail services and include # of days, rate of compensation and travel or other related costs • Facility Use • ACF: cage per diem X # of cages X # of days • Bioimaging facility: Hourly rate X # of hours X # of experiments • For all items of cost provide detail! • Remember grant funding is a competitive situation and funding is limited!

26. NIH Modular Budget Justification • Required for applications requesting Total Direct Costs up to $250,000/year • Requested in $25,000 increments or modules • Typical modular application requests same number of modules in each year • Justification in narrative form is provided for personnel and, if applicable, consortium costs • If there is a variation in number of modules requested an additional narrative justification is needed to explain variation.

27. NIH Modular Budget Justification • Personnel Justification • List PI first, followed by other faculty then other personnel • Do not include individual salary information • List all Personnel along with their project responsibilities and effort in person months. If a person’s effort changes from year to year, explain why • Consortium Costs • Provide estimate of total costs for each year rounded to the nearest $1,000 • List the consortium organization along with the personnel, roles and person months devoted to the project • Indicate whether foreign or domestic • Additional narrative justification • Explain why additional module is requested ( equipment purchase or additional personnel are needed on a particular year, etc.)

28. NIH Biosketch • 5 Page Limit • Personal Statement may be followed by list of up to 4 publications • May include 5 contributions to Science. Each contribution no more than ½ page • Each contribution may be followed by up to 4 publications • URL to full list of published works must be to a federal website ( My Bibliography) • Must not include tables or Graphs • Research Support includes only active and recently completed

29. NSF Biosketch • NSF Biosketch limited to 2 pages • Professional Preparation must include location • Products 5 closely related and 5 other • May list up to 5 Synergistic Activities( do not list multiple examples under an activity) • Collaborators and Other Affiliations no longer included in the Biosketch. Instead its submitted as a single-copy document

30. Proposal Reminders • COEUS S2S • If copying a proposal record for reuse; disconnect the old opportunity and save the record before connecting to new opportunity (FOA). • Select optional forms in Grant.gov tab ( Budget form, assignment request form) • Key Personnel • Include 9 digit zip code for all key personnel • Include degree year and type • Subawardee must be entered as “Other Organization” not “Performance Site” in COEUS Organization tab • Attachments in the application must have a unique filename limited to 50 characters ( including spaces)

31. Proposal Reminders Continued • Subawards • Send correct version of Subaward R&R budget form to collaborators who will be included as subawardee. See RAIS video here. • Subawardee on PHS proposals that is not included on the FDP Clearinghouse website must complete Subrecipient FCOI Certification • Budget Justification filename must be unique

32. Proposal Reminders Continued • Use of Cover Letter in NIH Submission • PI’s submitting under NIH continuous submission policy must include cover letter to indicate s/he is a member of an NIH study section qualified to submit at a nonstandard time. • Approval to Submit proposal requesting $500,000 or more indirect costs for any year • Indicate plans to send a Video file later • No longer include Assignment request in Cover letter. Use the Assignment Request Form

33. QUESTIONS THANK YOU FOR PARTICPATING IN TODAY’S SESSION