dcb new grantee workshop: post-award administration of grants brett hodgkins team leader national...

DCB New Grantee Workshop:

Post-Award Administration of Grants

Brett HodgkinsTeam Leader

National Cancer InstituteOffice of Grants Administration

Post-Award Administration of Grants

Roles and Responsibilities Expanded Authorities Prior Approvals Progress Reports Grant Closeout

Roles and Responsibilities

Grants Management Specialist-Monitors the fiscal and administrative aspects of

the project

-Assures compliance with federal regulations, policies and procedures

-Is the only NIH official authorized to change funding, duration and terms of award

Roles and Responsibilities

Grantee-Assures compliance with federal regulations,

policies and procedures-Monitors proper conduct of the project-Fiscal management of the project-Award is made to organization/institution, not

the Principal Investigator

Authorized Organizational Representative

Lines of Communication

Grants Management Specialist

Project Director / Principal Investigator

Program Official

Notice of Award (NoA)

-Legally binding document

-Sent to the Business Office

-Must be read carefully before starting the project Establishes funding level, period of support Sets forth terms and conditions of award Provides contact information for NCI Program

Director and Grants Management Specialist

Notice of Award

Name and address of grantee institution

Project Title Name of Principal

Investigator Period of support Future year funding Terms and Conditions

Notice of Award

Notice of Award

Effective January 1st, 2008, NIH will no longer provide paper notifications of the Notice of Award letters. The Notices of Award will be sent solely via e-mail to the grantee organizations and will be accessible in the eRA Commons through the Status Module

Expanded Authorities

What is it?

NIH has waived cost-related and other prior approval requirements for many activities and expenditures, and provided authority for these activities and expenditures to the grantee.

Expanded Authorities

Grantee Organizations already have prior approval for many activities and expenditures

- 1st No Cost Extensions- Carryover of unobligated balances- Transferring performance of work to a 3rd Party

Summary of Expanded Authorities May exercise as expanded May exercise as expanded

authorityauthorityExceptExcept

Carryover of unobligated balances Carryover of unobligated balances from one budget period to the nextfrom one budget period to the next

Centers (P50, P60, P30, other), Centers (P50, P60, P30, other), cooperative agreements (U), cooperative agreements (U), Kirschstein-NRSA institutional Kirschstein-NRSA institutional research training grants (T), non-Fast research training grants (T), non-Fast Track Phase I SBIR and STTR awards Track Phase I SBIR and STTR awards (R43 and R41), clinical trials, and (R43 and R41), clinical trials, and awards to individuals, or if the NGA awards to individuals, or if the NGA indicates otherwise.indicates otherwise.

Cost-related prior approvals, Cost-related prior approvals, including research patient care costs including research patient care costs and equipmentand equipment

If the scope would change.If the scope would change.

Extension of final budget period of a Extension of final budget period of a project period without additional NIH project period without additional NIH fundsfunds

If the grantee already has given itself If the grantee already has given itself one extension of up to 12 months.one extension of up to 12 months.

Transfer of performance of Transfer of performance of substantive programmatic work to a substantive programmatic work to a third party (by consortium third party (by consortium agreement)agreement)

If the transfer would be to a foreign If the transfer would be to a foreign component or it would result in a component or it would result in a change in scope.change in scope.

Prior Approvals Second No Cost Extension Change of Principal Investigator Change of Grantee Institution Addition of a foreign component Undertaking activities disapproved or restricted by

term of award Request for additional NIH funds Change in scope

Change in Scope

Change in the specific aims Shift in the research emphasis Significant rebudgeting Change in Key Personnel Change in usage of human/animal subjects

Change in Scope

"Change in Scope: In general, the PI may make changes in the methodology, approach, or other aspects of the project objectives. However, the grantee must obtain prior approval from NIH for changes in scope, direction, type of training, or other areas that constitute a significant change from the aims, objectives, or purposes of the approved project .

Requests for Prior Approval

Requests for NCI prior approval must be:

1. Submitting in writing

2. Submitted at least 30 days prior to the proposed change

3. Signed by the PI and Business Official

Requests for Prior Approval

E-mail requests are acceptable, but must include:

1. Grant number

2. PI name

3. Contact information for PI/Business Office

Requests for Prior Approval

The only official response to prior approval requests are written responses signed by the GMO

- Revised Notice of Award

-Letter signed by the GMO addressing the specific request

Requests for Prior Approval

When PIs are uncertain about requests for prior approval, consult in advance with:

-Your Office of Sponsored Research

-Written policies and regulations (such as NIH Grants Policy Statement)

-NIH Grants Management Specialist

Progress Reports Information to be included is specified in the PHS

2590 instructions

http://grants1.nih.gov/grants/funding/2590/2590.htm

Annual Progress Report must be submitted for NIH to authorize continued funding of your award

Progress Reports

Due Dates:

-45 days prior to renewal date (eSNAP)

-60 days prior to renewal date (hard copy)

Elements:

1. Face Page

2. SNAP Questions (if applicable)

3. All Personnel Report

4. Scientific Progress/Aims

Key Elements of Face Page

Addresses

Human Subjects / Assurance

Vertebrate Animals / Assurance

Inventions and Patents

SNAP Question # 1

Has There Been A Change in the Other Support of Senior/Key Personnel Since the Last Reporting

Period?

SNAP Question # 2

Will There Be, In the Next Budget Period, A Significant Change in the Level Of Effort for the

PD/PI or Other Senior/Key Personnel Designated on the Notice of Award From What Was Approved

For This Project?

SNAP Question # 3

Is It Anticipated That An Estimated Unobligated Balance (Including Prior Year Carryover) Will Be Greater Than 25% of The Current Year’s Total

Approved Budget?

All Personnel Reporthttp://grants.nih.gov/grants/guide/notice-files/NOT-

OD-09-139.html

http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-140.html

http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-150.html

Scientific Progress/Aims

A programmatic responsibility If aims/objectives are not being met, further action

can be taken Oftentimes failure to meet aims/objectives can go

hand-and-hand with existence of unobligated balance

Non-SNAP Applications

IRB/IACUC approval dates Detailed budget pages Annual FSR requirement Other Support Carryover/unobligated balance information

CloseoutItems That Must Be Submitted within 90 days of the

expiration date of the grant:

• Financial Status Report• Final Invention Statement• Final Progress Report

http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part8.htm#_Toc54600151

Helpful Information

www3.cancer.gov/www3.cancer.gov/admin/gab/index.htmadmin/gab/index.htm

Helpful Information

NIH Grants Policy Statement

http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_Introduction.htm#intro_top

Thank you!!!!

Brett Hodgkins

hodgkinsb@mail.nih.gov