Funding FAQs

Small Business Innovation Research and Small Business Technology Transfer Programs

What types of research does the NIAAA fund in its Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs?

The NIAAA supports research on the causes, prevention, control, and treatment of the major health problems associated with alcohol use. Learn more about SBIR/STTR research areas.

Who should I contact if I have a question about applying for SBIR/STTR?

For more information about SBIR/STTR programs, contact Megan Ryan, SBIR/STTR Program Director.

I have an EIN from the IRS. Why do I need to have one established by NIH? What documentation is required?

An EIN is needed to be registered within the Payment Management System (PMS). Applicant organizations are assigned a 12-digit EIN for payment and accounting purposes; this number is provided on the Notice of Award (NoA). To establish your EIN with our NIH databases and PMS, we will need your IRS letter and signed W-9 form (dated within six months from the current date). SAM registration must also be current and include all information. The company name and address must be the same on all documentation, including SAM.

For my Phase II Fast-Track application, what information do I need to submit? How do I submit the application?

Funding for the Phase II application will be contingent upon (1) assessment of the Phase I progress report and determination that the Phase I milestones were achieved, (2) review and approval of other documents necessary for continuation, and (3) availability of funds.

The Phase II Fast-Track application may be funded following submission of an updated Product Development Plan Appendix and an original PHS 2590 application form (PDF), following the simplified instructions under the Streamlined Noncompeting Award Process (SNAP).

All sections should be completed and include the following:

A Research Performance Progress Report summary, excluding the research plan. See the instructions at http://grants.nih.gov/grants/rppr/index.htm.
A section labeled Milestones must be included, describing the progress achieved in Phase I: (1) identifying either the milestones described in the original Phase I application as approved by the peer reviewers, or the milestones modified by the peer reviewers and negotiated with the grant recipient; and (2) describing the progress achieved relative to the milestones.
A one-page abstract describing the research plan for Phase II. If the aims have not been modified from the original Phase II application, state this. If they have been modified, give the reviewed aims and the reason for the modifications.
An updated Commercialization Plan as necessary, if changes have been made from the original submission.

The continuation application package is due two months prior to the anticipated start date of the Phase II and should be emailed as a PDF document via the AOR to the NIAAA Grants Management Specialist (GMS) and Program Official (PO) listed in this grant award. (Please contact your Grants Management Specialist at that time, to be certain of sending the package to the proper email address.)

If the human subjects work will be performed by a subcontractor that has an approved Federalwide Assurance (FWA), does my company still need to apply for its own FWA?

The small business will need to obtain an Office for Human Research Protections (OHRP)-approved FWA before the award is made for human subjects research that is not exempt. See the OHRP website for information about obtaining an FWA.

When does a small business applicant need Institutional Animal Care and Use Committee (IACUC) approval? What if a third party is conducting the animal studies?

IACUC approval is required prior to any award being made that involves the use of vertebrate animals. If a third-party lab or subaward is conducting the animal studies and has IACUC approval, then we, as the awarding agency, will need to initiate an Inter-Institutional Agreement (IIA) on your behalf with the Office of Laboratory Animal Welfare.

When completing the Other Support information, who should I include in the documentation?

Other Support information is required for all individuals designated in an application as senior/key personnel, except:

Program Directors, training faculty, and other individuals involved in the oversight of training grants.
Individuals categorized as Other Significant Contributors.

Our budget includes costs for a consortium/subaward. Where do I include these costs in the detailed budget?

The R&R Subaward Budget Attachment(s) Form is used for applications with a subaward or consortium. This form is required only when the prime grantee is submitting an R&R Budget Form and has subaward/consortia budgets. If your application includes a subaward/consortium budget, a separate Budget Justification must be submitted. Please see the SF 424 PDF Guide for more instructions.

How much in the “fee” am I allowed to charge to my grant?

The amount of the fee may not exceed seven (7) percent of total costs (direct and F&A) for each phase of an SBIR/STTR project. This profit or fee must be included in the budget request at the time of application, otherwise it will not be awarded.

Am I allowed to use part of the fee to pay for foreign fee-for-service companies?

Yes. Per the NIH Grants Policy Statement, the profit or fee is not considered a "cost" for purposes of determining allowable use, program income accountability, or audit thresholds. The profit or fee may be used by the SBC for any purpose, including additional effort under the SBIR/STTR award. See NIH GPS 18.5.4.2 for more information.

What is TABA funding and how can I request it?

Technical and Business Assistance (TABA) is an NIH program to help small businesses with their product development needs. You can request TABA funds within your application, and if necessary, SBCs may request TABA funding through an Administrative Supplement. This would need to be discussed with your assigned PO. Please see NIH’s TABA webpage for more details and instructions.

If I don’t have a negotiated rate agreement, do I need to exclude the first $25,000 of consortia costs?

If the applicant SBC does not have a negotiated indirect cost rate agreement with a federal agency, the applicant should propose estimated F&A costs at a rate not to exceed 40 percent of the total direct costs. However, SBCs are reminded that only actual F&A costs are to be charged to projects. The NIH policy provides for the exclusion of consortia/contractual F&A costs when determining if an applicant is compliant with a direct cost limitation. However, for SBIR/STTRs that do not have an established rate agreement, this policy does not apply.

Am I able to re-budget between my total authorized budget to purchase a piece of equipment needed for the project?

It depends. In general, NIH recipients are allowed a degree of latitude to re-budget to meet unanticipated needs. In most cases, these changes can be made at the discretion of the recipient. However, whenever the budget modification may result in a change in scope, a prior approval request needs to be submitted to the assigned GMS and PO.

Use the eRA Commons Prior Approval Module to seek prior approval for the following post-award actions:

Request for no-cost extension (NCE)
Request for carryover from one budget period to another
Request for a change in PD/PI
Making another request

Training videos for eRA Commons: Prior Approval

How do I request an NCE?

A first-time NCE may be performed automatically by the Signing Official (SO) no earlier than 90 days before the end of the project and no later than the end date. The SO should follow these steps to request an NCE.

I received an eRA automated e-mail to submit my final reports. What does this mean?

The NIH requires that small business recipients submit required reports within 120 days of the end of the grant project period. If a NCE has been requested and approved, the reports are due 120 days from the end date of the NCE.

What are the final reports and how do I submit them?

The following reports are required at the end of grant project period:

Final progress report (requirements have changed — please see NOT-OD-12-152)
Final Invention Statement and Certification (HHS 568)
Federal Financial Report — replaced the Final Cash Transaction Report (PSC 272)

To submit the final reports, please see the closeout section of the eRA user guide.

National Research Service Awards-Training Grants

Where are NIAAA T32 and T32 applications reviewed?

All NIAAA institutional (T32 & T35) NRSA applications are reviewed in-house at the NIAAA.

What is the NIAAA receipt deadline for competing T32/T35 grant applications?

Given the five-year maximum duration of T32 awards, an average of about six programs come up for competitive renewal each year. The single receipt date for NIAAA T32 and T35 applications is May 25 of each year.

Is there a budget cap for T32 and T35 applications?

The NOFO states that before submission, IC approval for direct costs of $500,000 and greater is required for both new and competing renewals. Competing renewals with more than $500,000 in direct costs in the last year of the previous funding period may be considered, provided there are no increases in the numbers of slots. (Please refer to the Table of IC-Specific Information, Requirements and Staff Contacts.) A letter is required in advance if an application will request $500,000 or more in direct costs. Investigators should contact the Program Director/Officer assigned to the application, and if not known, contact the Director of Office of Extramural Activities at marmillotp@nih.gov to submit this request (see also Applications Requesting $500,000 or More in Direct Costs).

How are stipend levels determined?

Predoctoral trainees: One stipend level is used for all predoctoral trainees regardless of level of experience.

Postdoctoral trainees: Stipend levels are determined by the number of full years of relevant experience after receiving the doctorate at the time of appointment.

Stipend levels are regulated by congressional legislation and are periodically adjusted to meet the rise in the cost of living.

The current NRSA stipend levels can be found at: http://grants.nih.gov/training/nrsa.htm.

Am I able to re-budget tuition into stipends?

These are considered trainee costs. For re-budgeting purposes, trainee costs include funds awarded in the stipends and tuition/fees budget categories. These costs may not be used for other purposes except under unusual circumstances, and then only with the prior approval of the NIH-awarding IC. Unless otherwise restricted by the terms and conditions of the grant award, re-budgeting into or within the stipends and tuition/fees is allowable without prior approval. See NIH Grants Policy Statement 11.3.9 for more information.

Does the NIAAA allow automatic carryover of unobligated balances on NRSA training grants?

No. The NIAAA does not permit automatic carryover from one budget period to the next. These funds are used by the institute to offset future year commitments. This helps us to use the training budget available in the most judicious manner possible.

I have trainees that are still being supported on my T32, and my T32 is about to end. I have a renewal pending review. What can I do to maintain the trainee’s support?

You can enter the T32 in a one-time NCE for up to 12 months. This can be done through the eRA Commons in the Status module by using the “Extension” action.

Am I able to appoint new trainees during an NCE?

No. You can re-appoint current trainees on the T32 during the NCE period, however, you cannot appoint new trainees during the NCE period.

How do I report the overlapping obligations from trainees that extend from one competing segment into another on the final FFR?

In general, there should be no unliquidated obligations entered on the final FFR. However, if you have a pending/approved Type 2 application, the recipient must contact the assigned GMS and request that they have the FFR changed from final to annual. See NOT-OD-22-215.

If a PI plans to be absent for more than three months from the training grant, what is required?

A countersigned letter by the AOR requesting approval of an acting PI should be submitted to the NIAAA. The letter should describe plans for the conduct of the program during the original PI's absence and indicate that the acting PI will have signature authority on trainee forms. A copy of the acting PI's biosketch should be included. The NIAAA will review the request and provide a written decision to the grantee.

Can the PI request to change the number of predoctoral trainees to postdoctoral trainees or vice versa?

The AOR should submit a prior approval request including a justification for the need of the change in trainee distribution. It should explain how the institution plans to allocate for the change, especially if this change will be for more than one budget period. The AOR should also provide a statement regarding recruitment efforts. Also, if the request is to add an additional postdoctoral trainee, the institution will need to provide a statement regarding payback implications should the trainee not be reappointed.

Regarding stipend increases, my T32 was issued in July and the stipend increase was made the next fiscal year. Will my training grant receive an increase?

No. Any stipend increases are effective only for T32 program awards made with funds from the fiscal year in which the stipend increase was effective.

Does a trainee have to pay taxes on stipends?

The interpretation and implementation of tax laws are the domain of the IRS. The NIH takes no position on the status of a particular taxpayer, nor does it have the authority to dispense tax advice.

How do I request childcare costs?

You do not need to request childcare costs for trainees. They will be awarded automatically in the amount of $3,000 per slot with restrictions. Unused funds will be used as an offset or must be returned at the end of the project period.

National Research Service Awards-Fellowships

How is my stipend established on my NRSA Fellowship Award?

Predoctoral trainees: One stipend level is used for all predoctoral trainees regardless of level of experience.

Postdoctoral trainees: Stipend levels are determined by the number of full years of relevant experience after receiving the doctorate at the time of appointment.

Stipend levels are regulated by congressional legislation and are periodically adjusted to meet the rise in the cost of living.

The current NRSA stipend levels can be found at: https://researchtraining.nih.gov/programs/fellowships

Is NIH prior approval required for the Fellow to take a leave of absence from the NRSA Fellowship Award? What documentation needs to be submitted to NIH?

During a leave of absence, documentation to suspend the award and/or the accrual of service for calculating the payback obligation must be completed and retained by the sponsoring institution. When the fellowship is eventually terminated, the leave of absence must be clearly documented on the termination notice.

Do I need to be a U.S. citizen to hold a Fellowship Award?

The Fellow must be a citizen or a noncitizen national of the United States or have been lawfully admitted for permanent residence by the time of award.

Can I use institutional allowance to pay for my health insurance?

Institutional allowance can be used to help defray the cost of fellowship expenses, such as health insurance, research supplies, equipment, books, and travel to scientific meetings. See https://researchtraining.nih.gov/resources/policy-notices.

Can I extend my budget end/project end date to get an extension for maternity leave?

NRSA Fellows may receive stipends for up to 60 calendar days of parental leave per year for the adoption or birth of a child. Either parent is eligible for parental leave. If additional time is needed, Fellows may take sick leave or unpaid leave.

See NIH GPS 11.2.13.1 Leave.

Is other support required for fellowships?

Other support is not required for training awards, prizes, or gifts.

Can I carry over my unobligated balance or get an NCE for a fellowship?

No. The NIAAA does not allow carryover or NCEs for NRSA Fellowship awards.

Can I request a leave of absence for a clinical internship?

It depends. A prior approval request is required and must be submitted to the GMS and PO assigned to the fellowship.

Do I need to get prior approval from NIH to keep using my sponsor if they move to another local institution?

Prior approval is required from the AOR at the sponsoring institution for any changes in sponsors or transfers of institution. These requests should be submitted to the assigned GMS and PO. See NIH GPS 11.2.12 Changes in the Project.

I am an F31 Fellow, and I just received my Fellowship Award from the NIAAA. Due to personal/family reasons I’m finding it necessary to move and change institutions. Is this possible?

It depends. A prior approval request is required for a change of institution.

See NIH GPS 11.2.12 Changes in the Project.

Career

When a PI needs to take a leave of absence from the CDA, what needs to be provided to NIH?

A request for a leave of absence may be permitted as outlined in NIH GPS 12.13.1.

A prior approval request must be submitted by the AOR to the assigned GMS and PO.

If a PI received a promotion, is it possible to increase their salary on their CDA?

At the NIAAA, the Institutional Base Salary will be verified at the time of award and prorated for their effort committed to the CDA. Inflationary adjustments are not provided for future year commitments.

Do I need to be a U.S. citizen to be the PD/PI on a CDA?

For CDA programs other than the K99/R00 program, only U.S. citizens, noncitizen nationals, or individuals lawfully admitted for permanent residence at the time an offer of an award is made, are eligible for this award.

Can an applicant for a K01 also have an appointment at a VA?

Yes, however candidates who have VA appointments may not consider part of the VA effort toward satisfying the full-time requirement at the applicant institution.

No salary or fringe benefit payments may be made from NIH grant funds to support federal employees. See NIH GPS 17.6.

Research Project Grant

What should I do if my application budget will exceed $500,000 in direct costs?

Applicants must seek approval by NIAAA staff no later than six weeks prior to the submission date by contacting their assigned PO in writing.

Who do I contact if I have questions about the status of my grant application?

For applications that are not yet funded, please reach out to the assigned PO for more information. For any budgetary or administrative questions related to the application process, or even after you’ve received your award, you can address those inquires to the assigned GMS, but please copy your PO as well.

Do I need NIH prior approval to establish a new consortium site on my project?

Prior approval is not required to move the performance of already peer-reviewed programmatic work to a consortium/subaward, unless this change would constitute a change in scope, or the move is to a foreign component. See NIH GPS 8.1.1.4.

Do I need NIH prior approval to change from a single PD/PI project to a multi-PD/PI project?

Yes, a prior approval request should be submitted via the eRA Commons Prior Approval module and should include updated biosketches, other support, and a Multi-PI Leadership plan.

Do I need NIH prior approval to change the contact PD/PI on a currently existing multi-PD/PI project? What documentation needs to be submitted to NIH?

Yes, a justification for the change along with other support and biosketches for any newly proposed PI(s) should be submitted via the eRA Commons Prior Approval module.

I received an invoice after my project ended regarding a charge that occurred during the period of performance of my award. It has been over 90 days since the project ended. Could this expense still be drawn down if the expense does not exceed the remaining award balance?

Please see NOT-OD-23-086 for requesting payments after the 120-day liquidation period on PMS documents.

I need to request a change in scope/aims from my originally approved project. Is there a template or process I need to follow?

For changes in scope, use the NIH Template to document your revised Abstract, Specific Aims, and Public Health Relevance after discussing with your PO. The completed NIH template should be included as part of the change-in-scope request to the assigned GMS and PO.

My project is in an NCE, but I am looking to change institutions. Am I able to request that my NIAAA project be transferred to the new institution?

The NIAAA will not consider change of institutions during a NCE except for under extreme circumstances.

Can we charge for our equipment expenses according to the date they were purchased rather than the date in which the final cost was incurred?

Under federal costs principles, NIH grant awards provide reimbursement of the actual, allowable costs incurred.

Foreign

I am the PI of a domestic institution that recently received a wonderful job opportunity at a foreign institution. Can I transfer my NIAAA grant to this foreign institution?

The original recipient organization has to agree to relinquish all interests and rights to the grant via a Relinquishing Statement.

The transfer of a grant to or between foreign organizations or international organizations requires approval of the NIH-awarding IC and its National Advisory Council or Board. A transfer application must be submitted with all the necessary documentation in a timely manner, preferably several months in advance of the new start date at the new institution. This is due to the time it takes to review and gather all necessary information. This includes the review from council processing the new institution in the NIH databases.

Necessary early communication with the assigned Program Official and Grants Management Specialist will also aid in a seamless and timely transition.

Please see NIH GPS 16.7.3 and 8.1.2.7 for more information.

Drs. A, B, and C are multi-PIs on a grant. Drs. A and C are at one foreign institute while Dr. B is at another foreign institute. The “contact” PI, Dr. A, wants to transfer the award (not the people) and contact PI’s responsibilities to Dr. B at the second foreign institute. Can this award be transferred?

It depends on what the Multi PI Leadership plan details and if all parties, including the original institution has agreed to relinquish the rights of the project. Also, the assigned NIAAA Program Official and Grants Management Specialist must also be in agreement with this potential change.