After the Award is Made… - PowerPoint Presentation

Slide1

After the Award is Made…THEN WHAT?

Rebecca D. Claycamp, MS, CRA

Chief Grants Management Officer

National Institute of Mental Health, NIH

Terri Jarosik

Supervisory Grants Management Specialist

National Institute of Mental Health, NIH

JUNE 2012Slide2

When Does a Grantee Need to Contact NIH After the Initial Award?

When there is an issue with the Notice of Award (NOA)

Annual continuation progress reports, including multiyear funded grants

When an FCOI is identified

Required prior approvals

Consultation when a question needs to be answered or a problem arises

CloseoutSlide3

Notice of Award (NoA) What is the Notice of Award letter? What are the components of the NoA letter?

Grantee acceptance of awardSlide4

What is the Notice of Award letter?Legally Binding Document

Identifies grant number, grantee, PI

Establishes funding level, support period

Sets forth terms and conditions

Includes NIH Contact Information for assigned Program Director & Grants Management Specialist

E-mailed to the grantee-provided address

Available in Commons StatusSlide5
Slide6

NoA Section I:Award Data & Fiscal Information

Summary totals for current and future years

Fiscal year of award

Indicates whether an unobligated balance has been applied to the award amount

Cofunding

by another NIH Institute/Center or Office

NoA

Section II:

http://grants.nih.gov/grants/policy/awardconditions.htm

, info about:Grant Payment InformationOIG Hotline InformationOther terms/info that apply to all awards

Components of the

NoASlide7

Components of the NoA (continued)

NoA

Section III: Terms & Conditions

Standard

terms, by reference:

Grant program legislation and regulations

Restrictions on the expenditure of funds in appropriation acts

45 CFR 74 or 92 as applicable

NIH Grants Policy StatementSlide8

Components of the NoA (continued)

NoA

Section III: Terms & Conditions

Dependent on award characteristics….

Federal Demonstration Partnership institutions noted

Carryover - automatic or prior approval

Included/excluded from Streamlined Noncompeting Award Process (SNAP)

Phase III Clinical Trials (when applicable)

ClinicalTrials.govSlide9

Components of the NoA (continued)

NoA

Section III: Terms & Conditions

Requirements for DUNS # and CCR registration

Transparency Act

Multi-Year Funded

Public Access

Closeout term (when applicable)

Co-funding (when applicable)

Program IncomeSlide10

Components of the NoA (continued)

NoA

Section IV: IC Special Terms and Conditions

Cooperative Agreement

Restrictive terms

Information items

Staff Contact Information

Spreadsheet SummarySlide11
Slide12

Grantee AcceptanceThe grantee indicates acceptance of the terms and conditions of the award by

drawing down funds

from the Payment Management SystemSlide13

FCOI Reporting RequirementsInitial and annual FCOI Reports are provided to the NIH through the eRA Commons FCOI Module

Prior to the expenditure of funds

During the period of award

Within 60 days of identifying a new FCOI

Annually

At the same time as when the annual progress report or multiyear progress report is doe or at time of

extension

http://

grants.nih.gov/grants/policy/coi/index.htm

Slide14

Progress ReportsSNAP or Non-SNAP

Elements of a Progress Report

How to submit

When to submitSlide15

SNAP Progress Reports - Administrative & Fiscal Requirements

Grants Policy Statement, 8.4.1.2 Streamlined Non-Competing Award Process

http://grants.nih.gov/grants/policy/nihgps_2012/nihgps_ch8.htm#_Toc271264971

Detailed budgets not required

Federal Financial Report due at end of competing segment

eSNAP

retiring, RPPR requiredSlide16

Research Performance Progress Report - Update

Guide Notice for RPPR changes (Feb. 2013)

Progress reports for SNAP

grants and

Fellowships with budget start dates on or after 7/1/13

must

be submitted using the

RPPR.

eSNAPs

will be “returned”. Progress Report Additional Materials (PRAM) functionality expanded to include requests from

ICs

RPPR for non-SNAP and multi-year funded

awards implementation timeline TBD

More at:

NOT-OD-13-035

and

NOT-OD-13-061Slide17

RPPR – Resources

NIH RPPR webpage

Background

NIH RPPR Instruction Guide

Archive of Webinar for NIH Grantees

Frequently Asked Questions

More

at:

http://

grants.nih.gov/grants/rppr/index.htm

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17Slide18

Key Elements of the RPPR Progress Report

A. Cover Page

B. Accomplishments

C. Products

D. Participants

E. Impact

F. Changes

G. Special Reporting Requirements

H.

BudgetAre there still the three questions?Slide19

D.2a - Will there be, in the next budget period, either (1) a reduction of 25% or more in the level of effort from what was approved by the agency for the PD/PI(s) or other senior/key personnel designated on the Notice of Grant Award, or (2) a reduction in the level of effort below the minimum amount required by the Notice of Award?

Describe and justify the planned reductions

D.2b - Has

there been change in the active other support of senior/key personnel since the last reporting period?

Provide complete other support only if active support has changed for the PI and key personnel, or new senior/key personnel are

added

G.10 - Is it anticipated that an estimated unobligated balance (including prior year carryover) will be greater than 25% of the current year’s total budget?

Explain why there is a balance, (including prior year carryovers), > 25% of the current year’s total budget and how you plan to use the fundsSlide20

Submitting a SNAP Progress ReportElectronically via eRA Commons, 45 days before next budget start date

Commons-registered institutions and PIs:

D

ue date information accessible through the Commons Status system (electronic submission for SNAP)

Have access to pre-populated face pages via Status

eRA Commons Website:

https://commons.era.nih.gov/commons/index.jspSlide21

Non-SNAP Progress Report Requirements Submit complete PHS2590 application

Detailed budget, justification, and updated other support, IRB and IACUC if appropriate

Address unobligated balance > 25%

Total Costs as commitment base

Annual Federal Financial Report

(

separate electronic submission)

RPPR implementation timeline TBDSlide22

Key Elements of Non-SNAP Progress Report

Face Page

Correct contact information

Human Subjects/Animals

FWAs/Assurances

IRB/IACUC dates

Education Certification

for new

key personnel Budget PageAt committed level with written justification

Updated Other

Support

Progress Report Summary

Checklist

All Personnel Report Slide23

How to submit a Non-SNAP Progress ReportHard copy to centralized mailing address, two months before next budget start date:

Division of Extramural Activities Support, OER, NIH

6705 Rockledge Drive, Room 2207, MSC 7987

Bethesda, M.D. 20892-7987

Bethesda, M.D. 20817 (courier/express)

Telephone: (301) 594-6584Slide24

What Not to Submit with the Non-Competing Progress Reports

Carryover requests

Requests for supplemental funding

Requests for additional time to the final budget and project period

These are administrative actions that need to be addressed separately.Slide25

What Can Delay the Award Process? Missing information for Key Personnel Out-of-date IRB/IACUC approvals

Lack of population data for clinical trials

Budgets with inadequate justification

Other Support for an individual that exceeds 12 CM (100%)Slide26

Timeliness

All grantees have access to a searchable list of due progress reports at:

http://era.nih.gov/commons/quick_queries/index.cfm#progress

Two separate progress report reminders e-mailed to the PI

Two months prior to the due date

Two weeks after the due date for overdue reportsSlide27

Federal Financial Report Beginning 2/1/2011 NIH implemented the expenditure data portion (i.e., FSR info) of the FFR

Annual

FFR due 90 days after the

end of calendar quarter

in which the budget period ends

Final

FFRs due 90 days after the

project period end

FSR info under expenditure data of FFR. Only cumulative data reported on FFRIn the eRA Commons (Federal Cash Transaction Reporting completed in Payment Management System on the FFR using cash transaction data elements)Slide28

Federal Financial Report (continued)

FFR SHOULD BE SUBMITTED BEFORE CARRYOVER REQUESTS ARE CONSIDERED

Grant might not be processed if a prior year FFR has not been submitted to and accepted by NIH

Expenditure data and cash transaction data on the

final

FFR must

reconcile

Grants Policy Statement, 8.4.1.5 Financial Reports

http://grants.nih.gov/grants/policy/nihgps_2012/nihgps_ch8.htm#_Toc271264973

Slide29

Carryover/Offset – What’s the Difference? Carryover increases the approved budget authorization using prior year funds

A carryover is a “$0” transaction on the

NoA

but the current approved budget is increased

An offset “partially pays” the current year’s grant with funds from a prior year – no increased budget authorization

An offset decreases the amount of the award Slide30

Requesting a Carryover…You must have an

UNOBLIGATED BALANCE

reported on a FFR

Funds awarded in one year but not spent

Carried forward from one budget period to another

Requires a written request from the grantee including a detailed budget page and budget justification

Justification requires a rationale for why funds were not spent in the year in which they were awarded and how they will be spent in the next year.

Justification must be tied to the scientific aims of the projectSlide31

Carryover reflected on NoA($50k TC carryover; original award of $250k TC)

Slide32

OffsetUnobligated funds used to “partially pay” the current fiscal year budget period

When a grant is offset:

The approved budget

DOES NOT

increase or decrease

The total federal award amount

DECREASES

the current fiscal year’s dollars

May use an offset due to large unexplained unobligated balances or when the need for funds changes (such as a post-doc slot on a training grant going unfilled)Slide33

Offset reflected on NoA ($50K TC offset; $250K TC approved)

Slide34

Prior ApprovalsCertain post-award actions require the prior approval of the NIH Grants Management Officer

NIH Grants Policy Statement, 8.1.2 Prior Approval Requirements:

http://grants.nih.gov/grants/policy/nihgps_2012/nihgps_ch8.htm#prior_approval_requirements

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Prior ApprovalAll requests for prior approval must be:Submitted in writing or via email – include complete grant number, PI name and contact information, grantee name

Submitted to the awarding IC’s Grants Management Specialist no later than 30 days before the proposed change

Signed by the AOR

Only responses to prior approval requests signed by the GMO are validSlide36

Required Prior Approvals …Alterations and renovations

Capital expenditures

Addition of a foreign component

Preaward Costs >90 days prior to effective date of new or competing award

Deviation from award terms and conditions

Changes in grantee organizational statusSlide37

Required Prior Approvals …Transferring of funds between construction and nonconstruction work

Retention of research grant salary/fringe benefit funds when a K Award is made

Transferring amounts from trainee costs

Second no-cost extension

or extension

> 12 monthsSlide38

Required Prior Approvals …Need for additional NIH funds—aka supplementCarryover of unobligated balances

Change in scope

Change in key personnel named in NGA

Change in grantee InstitutionSlide39

Requests for additional funding: Revision Application (Type 3)(formerly a competing supplement)

Supports an

expansion in scope

of the research

Peer-reviewed and council review

Standard application dates at:

http://grants.nih.gov/grants/funding/submissionschedule.htm

Slide40

Requests for additional funding: Administrative SupplementTo meet increased costs within the original scope

of the research

Provide funds for unanticipated costs not included in competitive application

Provide funds for special populations to enter or re-enter biomedical research

Requires prior approval

Limited $/requires exceptional justificationSlide41

Administrative Supplement – New - Electronic SubmissionAdministrative Supplements to Existing NIH Grants and Cooperative Agreements,

PA-12-100 - February 8, 2012

http://grants.nih.gov/grants/guide/pa-files/PA-12-100.html

For grants with activity codes that have

transitioned to electronic submission using the SF424 (R&R) application forms

, requests may be submitted electronically through grants.gov

Other activity codes still use paper-based PHS398 application forms Slide42

Prior ApprovalChange in scope:

Grantee makes initial determination of significance of a change, consulting the Grants Management Specialist as needed.

The following items

may

indicate a change in scope:

Change in aims

Significant

rebudgeting

(deviation between categories of more than 25% of total awarded costs)

Change in use of animals or humansSignificant change in key personnelShift in research emphasisApplication of new technology

Refer to NIH Grants Policy Statement for further informationSlide43

Prior ApprovalChange in status, including absence, of PD/PI and other Senior/Key Personnel named in NoA

:

Grantee must notify NIH if individual will:

Reduce his/her time by 25% or more of effort level approved at time of award

Withdraw from the project

Be absent for 3 or more months

This is only for key personnel named in the

NoA

,

NOT for key personnel designated in the application (our key not yours) Slide44

Prior ApprovalChange in status, including absence, of PD/PI and other Senior/Key Personnel named in NoA (continued):

Prior approval must be from NIH for the replacement of the PI

Request should include:

Justification for the change

Biographical sketch of the individual proposed

Other sources of support

Budget changes resulting from the change

Human Subject Education Certification (if applicable)Slide45

Prior ApprovalChange of Grantee Institution (Transfer)Grants Policy Statement, 8.1.2.7 Change of Grantee Organization

http://grants.nih.gov/grants/policy/nihgps_2012/nihgps_ch8.htm#_Toc271264936

Original grantee must complete:

Relinquishing Statement

Final Federal Financial Report and Final Invention StatementSlide46

Relinquishing Statement PHS 3734An ESTIMATE of amount relinquishedDo not include

unobligated

balance from prior

years: it will transfer automaticallySlide47

Prior Approval/Transfer Proposed new grantee must complete:Application w/ face page

Budget (current and future years) based on Direct Costs committed/relinquished

Updated

biosketches

for PD/PI and senior/key personnel (existing and proposed new)

Updated resources statement

Progress report (for transfer on anniversary date)

Statement whether research plans/aims have changed from original submission

New IRB/IACUCs

List of equipment purchased with grant funds to transfer to new organizationSlide48

Prior Approval /TransferTrouble spots?The PI is moving…

TOMORROW

(or MOVED A MONTH AGO)

!!!

The PI is relocating to WHERE?

Establishing consortium

Relinquishing Statement delays

Equipment

Final Federal Financial Report from original granteeSlide49

Change of Institution– New - Electronic SubmissionChange of Grantee Organization,

PA-12-270–August 24, 2012

http://grants.nih.gov/grants/guide/pa-files/PA-12-270.html

Electronic submission not yet required, but highly recommended

Unless instructed by awarding IC, budgets are limited to direct costs relinquished by the original institution, plus applicable F&A costs for the new institutionSlide50

Closeout: Final ReportsFinal Progress ReportFinal Invention StatementFinal Federal Financial Report (FFR)

Failure to submit timely and accurate closeout reports may affect future funding!

90-day requirement is a term and condition of NIH grant awardsSlide51

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Select Resources at the NIH

Grants Management Specialist on NGA

- If unknown, contact Chief GMO of IC

http://grants2.nih.gov/grants/stafflist_gmos.htm

Program Official on NGA

Division of Financial Advisory Services

http://oamp.od.nih.gov/dfas/dfas.asp

Office of Extramural Research

http://grants.nih.gov/grants/oer.htm

NIH Grants Policy Inbox

(policy questions not specific to NGA)

grantspolicy@mail.nih.gov

NIH Helpdesk (technical questions)

nihhelpdesk@mail.nih.gov

or

http://support.nih.gov/

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More

Resources at the NIH

NIH Grants Compliance and Oversight – website has compendium of observations, and presentations

http

://grants1.nih.gov/grants/compliance/compliance.htm

NIH Outreach Activities and Resources

http

://grants1.nih.gov/grants/outreach.htm

NIH Grants Policy Statement (10/12):

http://grants.nih.gov/grants/policy/nihgps_2012/index.htm

PHS 398 Application (form pages are PDF-fillable):

http://grants1.nih.gov/grants/funding/phs398/phs398.html

PHS2590 Progress Report (form pages are PDF-fillable):

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

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Questions??