1. After the Award is Made…THEN WHAT?
Grace Olascoaga
Chief, Grants Management Officer
Grants Administration Branch
National Institute of General Medical Sciences (NIGMS)

2. After the Award: The Grants Management Perspective

3. Topics of Discussion Notice of Award (NoA) Progress Report
SNAP (Streamlined Non-competing Award Process)
Non-SNAP (categorical)
Federal Financial Report (including Financial Status Report info)
Carryovers & Offsets
Prior Approvals (including change of grantee institution)

4. Topics of Discussion (continued)
Requests for additional funding
Revision application (competing)
Administrative supplement
Closeout
The process
Questions

5. Notice of Award (NoA) What is the Notice of Award letter?
What are the components of the NoA letter?
Grantee acceptance of award

7. 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
Sent to the business official ( ed)
Available in Commons Status

9. Components of the NoA NoA Section I: NoA Section II:
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:
info about:
Grant Payment Information
OIG Hotline Information
Other terms/info that apply to all awards

10. 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 Statement

11. Components of the NoA (continued)
NoA Section III: Terms & Conditions
Also (some dependent on award characteristics):
ARRA Terms
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.gov

12. 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 Income

13. Components of the NoA (continued)
NoA Section IV: IC Special Terms and Conditions
Cooperative Agreement
Restrictive terms
Information items
Staff Contact Information
Spreadsheet Summary

14. Grantee Acceptance
The grantee indicates acceptance of the terms and conditions of the award by drawing down funds from the Payment Management System

15. Progress Reports SNAP or Non-SNAP Elements of a Progress Report
How to submit
Timeliness

16. Key Elements of the Progress Report
Face Page (Non-SNAP)
Budget and justification (Non-SNAP)
Biosketch
Other Support (Non-SNAP)
Progress Report Summary
Checklist page (Non-SNAP)
All Personnel Report

17. SNAP Progress Reports - Administrative & Fiscal Requirements
Grants Policy Statement, Streamlined Non-Competing Award Process
Detailed budgets not required
Federal Financial Report due at end of competing segment
THREE RESPONSES:

18. SNAP Administrative & Fiscal Requirements
Has there been change in the 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
Will there be, in the next budget period, a significant change in the level of effort for the PD/PI or other personnel designated on the Notice of Grant Award from what was approved for this project?
Describe any significant change (25% or greater reduction) in the level of effort of key personnel named in the Notice of Award
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 funds

19. Non-SNAP Progress Reports -Administrative and Fiscal Requirements
Submit complete non-competing continuation application (PHS 2590)
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 (electronic submission)

20. Non-SNAP Progress Reports -Administrative and Fiscal Requirements (continued)
Face Page
Correct contact information
Human Subjects/Animals
FWAs/Assurances
IRB/IACUC dates
Education Certification for new personnel
Budget Page
AT COMMITTED LEVEL
Written justification
Updated Other Support
Checklist page

21. How to submit SNAP Progress Report
Electronically via eRA Commons, 45 days before next budget start date
Commons-registered institutions and PIs:
Have access to due date information through the Commons Status system (electronic submission for SNAP)
Have access to pre-populated face pages via Status
eRA Commons Website:

22. How to submit Non-SNAP Progress Report
Hard 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
Bethesda, M.D (courier/express)
Telephone: (301)

23. 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.

24. What Can Delay the Award Process? (continued)
Lack of or slow response to inquiries
Info sent without identification—always include grant number
Missing counter-signature of an authorized business official
Budgets with inadequate justification
Other Support for an individual that exceeds 100%

25. What Can Delay the Award Process?
Missing information for Key Personnel
Out-of-date IRB/IACUC approvals
Lack of population data for clinical trials

26. Timeliness
All grantees have access to a searchable list of due progress reports at:
Two separate progress report reminders ed to the PI
Two months prior to the due date
Two weeks after the due date for overdue reports

27. Federal Financial Report (including Financial Status Report info)
The Office of Management and Budget has consolidated the Financial Status Report (FSR or SF-269/SF-269A) and the Federal Cash Transaction Report (FCTR or SF-272/SF-272A) into a single form known as the Federal Financial Report (FFR or SF-425/SF-425A) 

28. Federal Financial Report (including Financial Status Report info) (continued)
Beginning 2/1/2011 NIH implemented the expenditure data portion (i.e., FSR info) of the FFR in the eRA Commons
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 FFR
(Federal CashTransaction Reporting completed in Payment Management System on the FFR using cash transaction data elements)

29. Federal Financial Report (including Financial Status Report info) (continued)
Expenditure data and Cash Transaction data on the final FFR must reconcile
MUST 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
Grants Policy Statement, Financial Reports

30. Carryover/Offset – What’s the Difference?
One increases the approved budget
and the other…
Decreases the current fiscal year’s dollars by “partially paying” the current year’s grant with funds from a prior year

31. Carryover/Offset FIRST: YOU MUST HAVE AN UNOBLIGATED BALANCE
Definition: Amount indicated on the Federal Financial Report (FFR) that represents funds the grantee institution was awarded but has not obligated (spent).
The amount listed as “unobligated funds” on the FFRshould include any funds that remain restricted from use in prior years/budget periods. This is a cumulative amount and should never decrease unless there has been a carryover or partial payment (offset).

32. Carryover
Unobligated funds that are carried forward from one fiscal year or budget period to another.
For grants not subject to automatic carryover, this action requires a written request from the grantee (countersigned by the institution’s authorized business official), including a detailed budget page and budget justification.
The budget page should reflect both Direct costs and F&A costs.
The approved budget is increased on the NoA allowing the grantee to spend funds carried forward from the previous fiscal year/budget period.
The Total Federal Award Amount remains unchanged, (must reflect $0), since funds are carried forward from a previous fiscal year as opposed to adding funds, (new $$).

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

34. Offset
Unobligated funds used to “partially pay” the current fiscal year budget period.
When a grant is offset:
The Approved Budget DOES NOT increase or decrease
However, the Total Federal Award Amount DECREASES the current fiscal year’s dollars… indicating that the Approved Budget will be ‘partially paid’ with funds from a prior fiscal year.

35. Offset reflected on NoA ($50k TC offset; $250k TC approved)

36. Prior Approval
Certain post-award actions require the prior approval of the NIH Grants Management Officer
NIH Grants Policy Statement, Prior Approval Requirements:

37. Prior Approval Examples of actions requiring NIH Prior Approval:
No-Cost Extensions beyond first extension
Change in status of PD/PI or Senior/Key Personnel or grantee organization status
Change of grantee institution
Pre-award costs more than 90 days (competing grant)

38. Prior Approval Examples (continued): Addition of a foreign component
Carryover of unobligated balances
Undertaking activities disapproved or restricted as a term of award
Change in scope

39. Prior Approval Change 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 humans
Significant change in key personnel
Shift in research emphasis
Application of new technology
Refer to NIH Grants Policy Statement for further information.

40. Prior Approval
Change 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 more than 25% of effort level approved at time of award
Withdraw from the project
Be absent for 3 or more months

41. Prior Approval
Change 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)

42. Prior Approval Change of grantee institution
Grants Policy Statement, Change of Grantee Organization

43. Prior Approval (change of grantee institution)
Original grantee must complete:
Official Statement Relinquishing Interests and Rights in a PHS Research Grant (PHS 3734)
final Federal Financial Report and Final Invention Statement

44. Prior Approval (change of grantee institution)
Proposed new grantee must complete:
Request for change of institution
Application includes:
Face page
Budget (current and future years) based on Direct Costs committed
Updated biosketches for PD/PI and senior/key personnel (existing and proposed new)
Progress report (for transfer on anniversary date)
Statement whether research plans/aims have changed from original submission

45. Prior Approval (change of grantee institution)
(continued)
Application includes:
Updated “other support”
Resources page, including effect of move on project
Checklist page
Certification of IRB/IACUC approvals, assurance numbers
List of equipment purchased with grant funds to transfer to new organization (this list indicates acceptance of title)

46. Prior Approval (change of grantee institution)
Troublespots?
The PI is moving… TOMORROW (or MOVED A MONTH AGO)!!!
The PI is relocating to WHERE?
Establishing consortium
Relinquishing Statement
Equipment
Final Federal Financial Report from original grantee

47. Relinquishing Statement PHS 3734
An ESTIMATE
Do not include Carryover (unobligated balance from prior years)

48. Prior Approval All requests for prior approval must be:
Submitted in writing or via – 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 administrative official
Only responses to prior approval requests signed by the GMO are valid

49. Requests for additional funding: Revision Application
Only to support an expansion in scope of the research
Received 3 times a year and are peer-reviewed by both a study section and council 49

50. Requests for additional funding: Administrative Supplement
To meet increased costs within the scope of the research, unforeseen when competing application or progress report was submitted
Must be submitted directly to the IC with a complete and detailed budget and a written justification
Requires Prior Approval

51. CLOSEOUT: Final Reports
Reminder
Failure to submit timely and accurate closeout reports may affect future funding!
Final Federal Financial Report (FFR)
REMEMBER, cash transaction and expenditure data must reconcile
Final Invention Statement and Certification
Final Progress Report
Grants Policy Statement, 8.6 Closeout
90-day requirement is a term and condition of NIH grant awards! 51

52. RESOURCE WEB LINKS
Office of Extramural Research Grants Home Page:
NIH Grants Policy Statement (10/10):
NIH Guide:
PHS 398 Application (form pgs are PDF-fillable):
PHS2590 Progress Report (form pgs are PDF-fillable):
Types of Grant Programs:

53. Questions??