Advertisement
/ 53 []

After the Award is Made… THEN WHAT? - Grace OlascoagaChief, Grants Manage...


. After the Award: The Grants Management Perspective . Topics of Discussion. Notice of Award (NoA)Progress ReportSNAP (Streamlined Non-competing Award Process)Non-SNAP (categorical)Federal Financial Report (including Financial Status Report info)Carryovers

Download Presentation

After the Award is Made THEN WHAT

An Image/Link below is provided (as is) to download presentation

Download Policy: Content on the Website is provided to you AS IS for your information and personal use only and may not be sold or licensed nor shared on other sites. SlideServe reserves the right to change this policy at anytime.While downloading, If for some reason you are not able to download a presentation, the publisher may have deleted the file from their server.











- - - - - - - - - - - - - - - - - - - - - - - - - - E N D - - - - - - - - - - - - - - - - - - - - - - - - - -




Presentation Transcript


After the award is made then what l.jpg

After the Award is Made…THENWHAT?

Grace Olascoaga

Chief, Grants Management Officer

Grants Administration Branch

National Institute of General Medical Sciences (NIGMS)


After the award the grants management perspective l.jpg

After the Award:The Grants Management Perspective


Topics of discussion l.jpg

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)


Topics of discussion continued l.jpg

Topics of Discussion (continued)

Requests for additional funding

Revision application (competing)

Administrative supplement

Closeout

The process

Questions


Notice of award noa l.jpg

Notice of Award (NoA)

What is the Notice of Award letter?

What are the components of the NoA letter?

Grantee acceptance of award


What is the notice of award letter l.jpg

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 (e-mailed)

Available in Commons Status


Components of the noa l.jpg

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 Information

OIG Hotline Information

Other terms/info that apply to all awards

Components of the NoA


Components of the noa continued l.jpg

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


Components of the noa continued11 l.jpg

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


Components of the noa continued12 l.jpg

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


Components of the noa continued13 l.jpg

Components of the NoA (continued)

NoA Section IV: IC Special Terms and Conditions

Cooperative Agreement

Restrictive terms

Information items

Staff Contact Information

Spreadsheet Summary


Grantee acceptance l.jpg

Grantee Acceptance

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


Progress reports l.jpg

Progress Reports

SNAP or Non-SNAP

Elements of a Progress Report

How to submit

Timeliness


Key elements of the progress report l.jpg

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


Snap progress reports administrative fiscal requirements l.jpg

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_2010/nihgps_ch8.htm#_Toc271264971

Detailed budgets not required

Federal Financial Report due at end of competing segment

THREE RESPONSES:


Snap administrative fiscal requirements l.jpg

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


Non snap progress reports administrative and fiscal requirements l.jpg

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)


Non snap progress reports administrative and fiscal requirements continued l.jpg

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


How to submit snap progress report l.jpg

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


How to submit non snap progress report l.jpg

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. 20892-7987

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

Telephone: (301) 594-6584


What not to submit with the non competing progress reports l.jpg

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.


What can delay the award process continued l.jpg

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%


What can delay the award process l.jpg

What Can Delay the Award Process?

Missing information for Key Personnel

Out-of-date IRB/IACUC approvals

Lack of population data for clinical trials


Timeliness l.jpg

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 reports


Federal financial report including financial status report info l.jpg

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) 


Federal financial report including financial status report info continued l.jpg

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)


Federal financial report including financial status report info continued29 l.jpg

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, 8.4.1.4 Financial Reports

http://grants.nih.gov/grants/policy/nihgps_2010/nihgps_ch8.htm#_Toc271264973


Carryover offset what s the difference l.jpg

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


Carryover offset l.jpg

Carryover/Offset

FIRST: YOU MUST HAVE AN UNOBLIGATED BALANCE

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).


Carryover l.jpg

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 approvedbudget 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 $$).


Carryover reflected on noa 50k tc carryover original award of 250k tc l.jpg

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


Offset l.jpg

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.


Offset reflected on noa 50k tc offset 250k tc approved l.jpg

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


Prior approval l.jpg

Prior Approval

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

NIH Grants Policy Statement, 8.1.2 Prior Approval Requirements:

http://odoerdb2.od.nih.gov/gmac/nihgps_2010/nihgps_ch8.htm#prior_approval_requirements


Prior approval37 l.jpg

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)


Prior approval38 l.jpg

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


Prior approval39 l.jpg

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.


Prior approval40 l.jpg

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


Prior approval41 l.jpg

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)


Prior approval42 l.jpg

Prior Approval

  • Change of grantee institution

    • Grants Policy Statement, 8.1.2.7 Change of Grantee Organization

      http://grants.nih.gov/grants/policy/nihgps_2010/nihgps_ch8.htm#_Change_of_Grantee


Prior approval change of grantee institution l.jpg

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


Prior approval change of grantee institution44 l.jpg

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


Prior approval change of grantee institution45 l.jpg

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)


Prior approval change of grantee institution46 l.jpg

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


Relinquishing statement phs 3734 l.jpg

Relinquishing Statement PHS 3734

An ESTIMATE

Do not include Carryover (unobligated balance from prior years)


Prior approval48 l.jpg

Prior Approval

All 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 administrative official

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


Requests for additional funding revision application l.jpg

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


Requests for additional funding administrative supplement l.jpg

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


Closeout final reports l.jpg

CLOSEOUT: Final Reports

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

http://grants.nih.gov/grants/policy/nihgps_2010/nihgps_ch8.htm#_Toc271264983

Reminder

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

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


Resource web links l.jpg

RESOURCE WEB LINKS

Office of Extramural Research Grants Home Page: http://grants.nih.gov/grants/oer.htm

NIH Grants Policy Statement (10/10): http://odoerdb2.od.nih.gov/gmac/nihgps_2010/index.htm

NIH Guide: http://grants.nih.gov/grants/guide/index.html

PHS 398 Application (form pgs are PDF-fillable): http://grants1.nih.gov/grants/funding/phs398/phs398.html

PHS2590 Progress Report (form pgs are PDF-fillable): http://grants.nih.gov/grants/funding/2590/2590.htm

Types of Grant Programs:

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


Questions l.jpg

Questions??