1. 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
JUNE 2012

2. 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
Closeout

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

4. 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
ed to the grantee-provided address
Available in Commons Status

6. 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

7. 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

8. 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.gov

9. 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

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

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

13. FCOI Reporting Requirements
Initial 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

14. Progress Reports SNAP or Non-SNAP Elements of a Progress Report
How to submit
When to submit

15. 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
eSNAP retiring, RPPR required

16. 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 and NOT-OD

17. RPPR – Resources NIH RPPR webpage Background
NIH RPPR Instruction Guide
Archive of Webinar for NIH Grantees
Frequently Asked Questions
More at: 17

18. 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. Budget
Are there still the three questions?

19. Describe and justify the planned reductions
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 funds

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

21. 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 TBD

22. 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 Page
At committed level with written justification
Updated Other Support
Progress Report Summary
Checklist
All Personnel Report

23. How to submit a 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)

24. 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.

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
Budgets with inadequate justification
Other Support for an individual that exceeds 12 CM (100%)

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
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 FFR
In the eRA Commons
(Federal Cash Transaction Reporting completed in Payment Management System on the FFR using cash transaction data elements)

28. 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, Financial Reports

29. 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

30. 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 project

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

32. 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
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)

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

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

35. 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 AOR
Only responses to prior approval requests signed by the GMO are valid

36. 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 status

37. 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 months

38. Required Prior Approvals …
Need for additional NIH funds—aka supplement
Carryover of unobligated balances
Change in scope
Change in key personnel named in NGA
Change in grantee Institution

39. 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: 39

40. Requests for additional funding: Administrative Supplement
To 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 justification

41. Administrative Supplement – New - Electronic Submission
Administrative Supplements to Existing NIH Grants and Cooperative Agreements, PA February 8, 2012
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

42. 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

43. 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 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)

44. 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)

45. Prior Approval Change of Grantee Institution (Transfer)
Grants Policy Statement, Change of Grantee Organization
Original grantee must complete:
Relinquishing Statement
Final Federal Financial Report and Final Invention Statement

46. Relinquishing Statement PHS 3734
An ESTIMATE of amount relinquished
Do not include unobligated balance from prior years: it will transfer automatically

47. 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 organization

48. Prior Approval /Transfer
Trouble 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 grantee

49. Change of Institution– New - Electronic Submission
Change of Grantee Organization, PA –August 24, 2012
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 institution

50. Closeout: Final Reports
Final Progress Report
Final Invention Statement
Final 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 awards

51. Select Resources at the NIH
Grants Management Specialist on NGA
- If unknown, contact Chief GMO of IC
Program Official on NGA
Division of Financial Advisory Services
Office of Extramural Research
NIH Grants Policy Inbox
(policy questions not specific to NGA)
NIH Helpdesk (technical questions) or

52. More Resources at the NIH
NIH Grants Compliance and Oversight – website has compendium of observations, and presentations
NIH Outreach Activities and Resources
NIH Grants Policy Statement (10/12):
PHS 398 Application (form pages are PDF-fillable):
PHS2590 Progress Report (form pages are PDF-fillable):

53. Questions??