NCURA Panel for Department
Administrators
on Research Compliance
Presented by the Office of Sponsored
Projects Administration
Sept. 6, 2001
11:30 a.m. - 3:30 p.m.
UK Student Center Small Theater
Department Administrators are on the front lines of
research administration and are the focus for
communication between researchers and the central
administration. Central administration implements
regulatory requirements, but it is often the department
administrator who must translate those requirements for
the faculty and assist with compliance. Join NCURA's panel
of department and central administrators for an in-depth
exploration of what department administrators need to know
about the increasingly complicated environment of research
compliance, and a discussion of some strategies for
success. This panel is sponsored by the
Faculty
- Carol Quintana, associate director, Arts &
Sciences Research Center, New Mexico State University
- Joyce B. Freedman, director, Sponsored Projects
Office, University of California-Berkeley
- Anita Joplin, chief of staff, vice chancellor for
Research, University of California-Berkeley
- Greg Koski, director, Office for Human Research
Protections, DHHS
- Marianne Rinaldo Woods, assistant vice president,
Research and Director, Grants and Contract Services,
University of Texas at Arlington
National Cancer Institute (NCI)
Allowable Budget Request Levels for
Competing Continuation (Type 2) R01 and U01
Applications
NIH and NCI budgets in recent years have experienced
unprecedented growth. To continue to support a reasonable
number of awards, the NCI is limiting the level of
budgetary request increases for competing continuation
single-project research grants (R01) and cooperative
agreements (U01). Beginning with the Nov. 1, 2001 receipt
date, budget increases for direct costs for NCI support
competing continuation (type 2) R01 and U01 applications
cannot exceed 20 percent over the direct cost award level
in the last non-competing (type 5) year. Awardees in their
last year of current support will be notified by NCI of
the maximum permissible budget for a competing
continuation.
For all applications, the "direct cost"
dollar cap total excludes any sub-contractual Facilities
and Administrative (F&A) costs that appear as direct
cost in the budget of the applicant organization. Examples
of budget calculation questions may be found on the NCI
Internet at: http://deainfo.nci.nih.gov/funding.htm.
Where currently active supplements have been awarded to
an ongoing R01/U01 award, the supplemental direct cost may
be added to calculate the new base of the competing
continuation request only if the work funded by the
supplement will continue in the new project period. After
a competing award has been issued, awardees—with
prior approval from NCI—are eligible to request
future competing and administrative supplements, even if
the additional request exceeds the original cap.
To assure careful consideration, requests requiring
prior approval should be received by the NCI at least 30
calendar days prior to the actual receipt date. Competing
continuation applications requesting increases in excess
of these guidelines without prior approval will be
returned without review and may result in loss of a full
review cycle. In such cases, interim administrative
supplements will not be provided to bridge gaps due to
failure to comply with NCI requirements.
For the NCI, the cap represents containment of future
budget increases that, if recommended for full funding in
even a slight majority of cases, would still require
further mandated reductions of awards to fit within the
NCI budget. All awards, therefore, will continue to be
subject to future overall NIH and NCI cost-containment
principles in effect at the time of issuance. Additional
details on the policy can be found in the NIH Guide notice
NOT-CA-01-016 ( http://grants.nih.gov/grants/guide/notice-files/NOT-CA-01-016.html).
National Institute of Neurological
Disorders and Stroke (NINDS) Guidelines for
Applications Involving Clinical Research with Yearly
Direct Costs over $1,000,000
In order to develop its clinical research program,
NINDS is standardizing the process for submitting
unsolicited clinical grant applications in excess of
$1,000,000 in direct costs per year. The guidelines apply
to unsolicited grant applications (e.g., R01, U01, U54,
P01, P50) and NINDS Program Announcements (PAs). The
policy does not apply to grant applications submitted in
response to NINDS Requests For Applications (RFAs).
Clinical research includes (a) patient-oriented research
(including research on the mechanisms of human disease,
therapeutic interventions, clinical trials, and the
development of new technologies); (b) epidemiologic and
behavioral studies; and (c) outcomes research and
health-services research.
Applicants planning to submit an investigator-initiated
new (type 1), competing continuation (type 2), competing
supplement, or an amended/revised version of a previous
application for a clinical research project in excess of
$1,000,000 in direct costs for any year must contact NINDS
three months prior to the submission deadline regarding
the appropriateness of the proposal. Applications subject
to this policy that do not receive NINDS permission to
submit will be returned to the applicant without review.
Applicants are to submit a letter of intent that
includes a descriptive title of the proposed research;
name, address, and telephone number of the principal
investigator; and identities of other key personnel and
participating institutions. A response will be sent no
later than six weeks prior to the requested submission
deadline. If the NINDS is willing to accept assignment of
the application for consideration of funding, the staff
will notify the Center for Scientific Review before the
application is submitted.
Submit all requests for applications subject to this
policy to Scott Janis, Ph.D., National Institute of
Neurological Disorders & Stroke National Institutes of
Health 6001 Executive Boulevard, Rm. 2209, MSC 9525
Bethesda, MD 20892-9525 (phone 301/594-0211; fax
301/480-1080; email sj151t@nih.gov).
Additional detail on the policy is provided in the NIH
Guide NOT-NS-01-012.
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