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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
