Grant Award Management Bryan S. Clark, M.B.A. Chief Grants Management Officer Eunice Kennedy Shriver National Institute of Child Health and Human Development (NICHD)

Managing the Award Accomplish programmatic goals as stated in the application With the approved budget – Amount – Scope

Managing the Award (cont.) Federal Laws DHHS Regulations NIH Regulations NICHD Terms and Conditions

Managing the Award (cont.) Program Announcement (PA) NIH Grants Policy Statement (GPS) Award Terms and Conditions

Managing the Award (cont.) Grant is made to the institution, not the individual Institution is also responsible Institutional Grant

Managing the Award (cont.) The PI is responsible for all aspects of the grant, including: Science Proper use of funds Timely reporting The Principal Investigator (PI)

No-Cost Extensions No prior approval required Up to 12 months Done by the institution through the eRA Commons First No-Cost Extension

No-Cost Extensions (cont.) Prior approval required Explanation of why the extension is needed Scientific rationale and plan Categorical budget Second No-Cost Extension

No-Cost Extensions (cont.) Prior approval required Explanation of why the extension is needed Categorical budget Budget and project periods are extended Mid-Year No-Cost Extension

Carryover Are the funds actually needed? Are there not enough funds in current budget? Is work being duplicated? Has the FFR been accepted? Having unobligated funds is not justification for requesting a carryover

Carryover Packet Signed written request An explanation of why the funds remain A scientific rationale and a plan for use of funds A categorical budget

Carryover Review The review will examine whether the: Request is justified Funds are available Request duplicates funding already provided in the current year’s support Request overlaps with a previous request Request signifies program expansion Approval will generate a recurring cost in future years FFR has been accepted

Closeout Final Federal Financial Report (FFR SF-425) Final Progress Report (FPR) Final Invention Statement and Certification (where applicable; Form HHS 568) Within 90 calendar days after the last day of the final budget period. Failure to submit timely and accurate final reports may adversely affect future funding for the organization and the investigator. (For more information on Closeout, see NIH Guide Notice NOT-OD ) NIH grantees must submit:

Audits Foreign grantees are subject to the same audit requirements as for-profit organizations, specified in 45 CFR 74.26(d), regardless of whether they are a hospital, nonprofit, or academic institution. A foreign organization is required to have a non-Federal audit if, during its fiscal year, it expended a total of $500,000 or more under one or more awards from the U.S. Department of Health and Human Services (as a direct grantee and/or under a consortium participant).

Audits (cont.) Foreign organizations have two options to satisfy the audit requirements: A financial-related audit of all HHS awards, as defined in, and in accordance with, the Government Auditing Standards (commonly known as the Yellow Book) OR An audit that meets the requirements of OMB Circular A-133

Audits (cont.) Whether an institution chooses to use the Government Accounting Standards (Yellow Book) form or the OMB Circular A-133 audit form, its audit will be done by an independent auditor NIH does not perform the audits directly The cost of hiring an independent auditor may be recovered as part of the 8% Facilities and Administrative (F&A) costs

Audits (cont.) Grantees must submit required audits within the specified time limits. Audit reports of foreign organizations should be submitted to: National External Audit Review Center HHS Office of Inspector General HHS Office of Audit Services 1100 Walnut Street, Suite 850 Kansas City, Missouri USA

Helpful Websites Eunice Kennedy Shriver National Institute of Child Health and Human Development: National Institutes of Health: Public Access Policy: Grants Policy Statement: nihgps_2010/index.htmhttp://grants.nih.gov/grants/policy/ nihgps_2010/index.htm Grant Award Conditions: awardconditions.htmhttp://grants.nih.gov/grants/policy/ awardconditions.htm Office of Inspector General: Fogarty International Center: