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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 National Institute of Mental Health, NIH JUNE 2012.

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after the award is made then what

After the Award is Made…THENWHAT?

Rebecca D. Claycamp, MS, CRA

Chief Grants Management Officer

National Institute of Mental Health, NIH

Terri Jarosik

Supervisory Grants Management Specialist

National Institute of Mental Health, NIH

JUNE 2012

when does a grantee need to contact nih after the initial award
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


notice of award noa
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
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

E-mailed to the grantee-provided address

Available in Commons Status

components of the noa
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:, 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
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 continued1
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)

components of the noa continued2
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 continued3
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
Grantee Acceptance

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

fcoi reporting requirements
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


At the same time as when the annual progress report or multiyear progress report is doe or at time of extension

progress reports
Progress Reports


Elements of a Progress Report

How to submit

When to submit

snap progress reports administrative fiscal requirements
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

research performance progress report update
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-13-035 and NOT-OD-13-061

rppr resources
RPPR – Resources

NIH RPPR webpage

  • Background
  • NIH RPPR Instruction Guide
  • Archive of Webinar for NIH Grantees
  • Frequently Asked Questions

More at:


key elements of the rppr progress report
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?

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

submitting a snap progress report
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:

non snap progress report requirements
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

key elements of non snap progress report
Key Elements of Non-SNAP Progress Report

Face Page

Correct contact information

Human Subjects/Animals



Education Certification for new key personnel

Budget Page

At committed level with written justification

Updated Other Support

Progress Report Summary


All Personnel Report

how to submit a non snap progress report
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. 20892-7987

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

Telephone: (301) 594-6584

what not to submit with the non competing progress reports
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
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%)


All grantees have access to a searchable list of due progress reports at:

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
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)

federal financial report continued
Federal Financial Report (continued)


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

carryover offset what s the difference
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

requesting a carryover
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


Unobligated funds used to “partially pay” the current fiscal year budget period

When a grant is offset:

The approved budget DOES NOTincrease 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)

prior approvals
Prior Approvals

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

NIH Grants Policy Statement, 8.1.2 Prior Approval Requirements:

prior approval
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 AOR

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

req uired prior approvals
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

required prior approvals
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

required prior approvals1
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

requests for additional funding revision application type 3 formerly a competing supplement
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:

requests for additional funding administrative supplement
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

administrative supplement new electronic submission
Administrative Supplement – New - Electronic Submission

Administrative Supplements to Existing NIH Grants and Cooperative Agreements, PA-12-100 - 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

Other activity codes still use paper-based PHS398 application forms

prior approval1
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 approval2
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)

prior approval3
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 approval4
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
relinquishing statement phs 3734
Relinquishing Statement PHS 3734

An ESTIMATE of amount relinquished

Do not include unobligated balance from prior years: it will transfer automatically

prior approval transfer
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
prior approval transfer1
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
change of institution new electronic submission
Change of Institution– New - Electronic Submission

Change of Grantee Organization, PA-12-270–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

closeout final reports
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

select resources at the nih
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

more resources at the nih
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):