Presentation
Title
Presented By:
Name
OctoberTitle
30,
Office

2012

Scott Cooper & Emily Linde
Office of Policy for Extramural Research Administration
• HHS, including NIH, operates under a Continuing
Resolution (CR) (H. J. Resolution 117).
o Until FY 2013 appropriations are enacted, NIH will issue
non-competing research grant awards at a level below that
indicated on the most recent Notice of Award (generally up
to 90% of the previously committed level).
• Funding levels determined by awarding IC
• More at: NOT-OD-13-002
o FY 2012 legislative mandates remain in effect, including
salary limitation set at Executive Level II of the Federal Pay
Scale ($179,700),
• More at: NOT-OD-12-034
o See Frequently Asked Questions website at
http://grants.nih.gov/grants/policy/fy2012_salary_cap_faqs.
htm
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The End of the Era of ARRA
3
•
Timely Quarterly and Closeout Reports Required;
•
Accelerating Unspent ARRA Awards
• OMB Memorandum M-11-34 Issued 9/15/2011, directs agencies to
assure ARRA funds are spent by 9/30/2013 and to “revise the terms of
Recovery Act discretionary grant agreements, to the extent permitted
by law, to provide for reclamation of funds that remain unspent after
September 30, 2013, absent a waiver issued by OMB pursuant to this
memorandum.”
• NIH waiver requests pending HHS & OMB review
• We continue to strongly encourage grantees to accelerate
expenditures for all active ARRA grants regardless of the current or
projected project period end date.
•
NIH issued on December 13, 2011, NOT-OD-12-014, Notice of Revised Term
of Award for All Recovery Act Awards to Ensure Project Completion by
September 30, 2013.
More at: http://www.grants.nih.gov/recovery/
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Financial Conflict of Interest
(FCOI)
Regulations
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• 42 CFR Part 50 Subpart F (grants and
cooperative agreements)
• 45 CFR Part 94 (contracts)
Revised Final Rule published on 8-25-11
• http://www.gpo.gov/fdsys/pkg/FR-2011-0825/pdf/2011-21633.pdf
Compliance Date: August 24, 2012
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• NIH Proactive FCOI Compliance Oversight
Program
o Assess institutional compliance with the 2011 revised
FCOI regulation
o Obtain and evaluate publicly accessible FCOI policies
for a sample of grantee institutions and provide
assistance through constructive feedback
o Share results with NIH research community to improve
and enhance compliance with the regulation
o NIH Guide NOT-OD-12-159
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FCOI Resources
• Mailbox for inquiries
o FCOICompliance@mail.nih.gov
• OER FCOI Web Site
o http://grants.nih.gov/grants/policy/coi/
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Policy Updates
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• Effective October 1, 2012.
o Supersedes previous October 1, 2011 version
o Incorporates changes in statutes, regulations, and
policies already implemented through other
appropriate legal/policy processes.
o Clarifies certain existing policies
o Incorporates minor edits for clarity in response to user
input, and updated URLs when applicable
• Available at
http://grants.nih.gov/grants/policy/nihgps_2012/inde
x.htm
• See Guide Notice NOT-OD-12-157 at
http://grants.nih.gov/grants/guide/notice-files/NOTOD-12-157.html
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•
New HHS policy modifies grantee use of NIH funds for conferences, meetings, food,
promotional items, and printing and publications.
o Applies to NIH Grants and Cooperative Agreements where the primary purpose of
the grant is to support a Conference and/or Scientific Meeting (i.e., R13s and U13s).
•
Implications for Grants
o Effective with awards issued on or after 01/27/12, a new term and condition
prohibiting food/meal costs from being supported by or charged to NIH-supported
conference grants will be included on all competing and noncompeting NIH R13 and
U13 awards: “Direct charges for meals/food and beverages are unallowable
charges to this project.”
•
Implications for Applications
o Applications for the April 12, 2012 and subsequent due dates must comply with this
new policy;
o The parent conference grant FOA and other active R13/U13 FOAs have been revised
to reflect the new term and condition.
•
Implications for Grants Not Specifically to Support Conferences
o The policy does not apply.
More at: NOT-OD-12-041 and NOT-OD-12-04811
• Change in scope requires prior approval from IC
(NIH GPS § 8.1.2.5);
• Change from the approved involvement of human
subjects is a potential indicator of a change in
scope.
• NOT-OD-12-129
o Detailed guidance on types of changes in human
subjects research awards that require prior NIH
approval
o Information on process for submitting prior approval
requests
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• Certain research applications may be submitted to
NIH with the knowledge that human subjects will be
involved during the period of support, but definite
plans for this involvement cannot be described in
the application (Delayed Onset Human Subjects
Research);
• Grantee must submit to the awarding IC a detailed
human subjects section prior to the involvement of
human subjects.
o Guide Notice NOT-OD-12-130 clarifies the
description of the types of delayed onset awards
and the process for submitting prior approval
requests.
More at: NOT-OD-12-130
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• Impending changes in the PHS 398 and SF424(S&R)
instructions for applications involving the use of human
embryonic stem cells (hESC).
o NIH Stem Cell Registry now lists more than180 approved cell
lines.
o Applications submitted on or after September 25, 2012,
proposing the use of hESC must:
• Specify a cell line(s) from the NIH Stem Cell Registry that will be
used in the proposed research, or;
• Provide a strong justification for why an appropriate cell line cannot
be chosen from the Registry at this time and a certification that one
from the Registry will be used. The justification should be included
in the Research Strategy section of the application.
• This evaluation will be allowed to affect individual criterion scores,
assessments of overall merit, and overall impact scores during initial
peer review.
More at: NOT-OD-12-111
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• As of May 25, 2012 communications from the
Division of Receipt and Referral (DRR) will be
accessible to applicants and applicant organizations
in the eRA Commons in a new ‘Correspondence’
section of the Commons detailed status screen for
the application. Applicants will be notified by email
to check their Commons account.
More at: NOT-OD-12-108
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• NIH Forms & Applications page has updated
forms/instructions for progress reports, other
post award actions, and NRSA
(http://grants.nih.gov/grants/forms.htm)
• New location for Final Progress Report
instructions under Closeout
• Revised competing applications and
instructions to be implemented in the summer
of 2013, following development of applicable
electronic forms
More at: NOT-OD-12-152
• Payment for all foreign awards issued after
October 1, 2012 will transition to the Payment
Management System; see NIH Guide Notice
NOT-OD-12-139.
• Awards will use PMS “B” subaccounts
• This transition affects carryover regardless of
the carryover authority noted in the
NoA. Carryover of an unobligated balance
from an award issued prior to October 1, 201,2
to an award issued after that date must be
done with NIH assistance.
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• For initial awards to foreign grantees issued
after October 1, 2012, grantees must use the
currency rate in effect at the time the funds
are drawn down when preparing the FFR
expenditure data.
• For initial awards to foreign grantees issued
after October 1, 2012 under SNAP, FFR
expenditure data is required only at the end of
a competitive segment.
• Aligns foreign SNAP awards with domestic
SNAP awards
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Fed-wide Streamlining Efforts
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• OMB mandated format standardizes interim progress
reports submitted to agencies
• NIH implementing as a module in Commons; will replace
PHS 2590, including eSNAP, and 416-9
• Initial pilot with limited institutions, April 2012
• Access expanded to FDP institutions, June 2012
• Access expanded to all institutions, Oct 2012
• Mandated use of the new RPPR module is expected for all
SNAP and Fellowship awards Spring 2013
• Schedule for complex mechanisms and non-SNAP to be
determined
More at: NOT OD-12-142
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NIH RPPR TIMELINE
All NIH grantees
given access to
RPPR module
RPPR Pilot
with 7
grantee
Institutions
begins
APRIL 2012
All FDP
institutions
given early
access to
RPPR
module
JUNE 2012
Use of RPPR is
OPTIONAL
Progress Report
Additional Materials
(PRAM) functionality
available
AUGUST 2012
OCTOBER 2012
JANUARY 2013
NIH mandates
use of RPPR for
all SNAP and F
awards
April 2013
RPPR for non SNAP awards TBD
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• Uses Federal-wide standardized questions and
NIH-specific data elements;
• Format is different from eSNAP, but the
information requested is similar;
• SNAP awards will still not require budget
• Publications from PI’s MyNCBI indicates Public
Access Policy compliance status;
• Includes live links to Notice of Award;
• Streamlines ClinicalTrials.gov reporting;
• Dynamic display of questions; questions
determined by activity code.
• New data collection on foreign components,
dollars to foreign countries, and foreign
affiliation of personnel;
• Effort for all participants must be rounded to
nearest whole person month;
• Other support only required if change;
• Clarifies when report may be used to request
prior approval (ONLY for reduction in level of
effort for PD/PI or Senior/Key listed in NoA).
RPPR Page:
http://grants.nih.gov/grants/rppr/
• Background Information
• RPPR Instruction Guide
• Screen shots
• Training webinar
• Archived recording of Oct. 17, 2012 webinar
• Relevant Guide Notices
• Learn how the RPPR differs from eSNAP
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• Where is information on subawards reported?
o To FFATA Subaward reporting system (FSRS) fsrs.gov;
o FSRS.gov also used for the executive compensation of
subawardees when information not available in CCR;
o XML Upload available;
o Information made publicly available at
USASpending.gov;
o FSRS User support through the Federal Service Desk
www.fsd.gov;
• Where can I get more information?
o Direct questions concerning reporting on NIH grants to:
GrantsPolicy@mail.nih.gov ;
o FAQs: Federal Funding Accountability and Transparency Act
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• Previously, requirement for Subrecipient
Reporting only applied to “New” (Type 1) grants
issued in FY2011 and beyond;
• In FY2012 and beyond, this expands to MOST
awards where the Type 1 was awarded after
October 1, 2010. This includes:
o Non-competing Type 5 and Type 7 awards (that follow
an FY2011 T-1); and,
o Type 2s competing continuations when the original
Type 1 was awarded on or after October 1, 2010.
• Since FY2012, awards have more definitive
“Yes/No” award term for this requirement.
More at: NOT-OD-12-010
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• Visit the NIH FFATA/Public Accountability Web Page
o http://grants.nih.gov/grants/public_accountability/ffata.htm
o Includes Frequently Asked Questions
• Send your NIH-specific questions by e-mail to
GrantsPolicy@mail.nih.gov
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Trouble-Shooting:
o Does the FFATA reporting requirement apply?
• Confirm that the award is a Type 1 award issued on or after
October 1, 2010 or subsequent award to such a Type 1;
o Are you using the correct identifier?
• The FAIN for NIH awards is based on the NIH award number
but only the activity code, IC, and serial number. Example:
NIH award 1R01CA987654-01A1 appears as FAIN
R01CA987654.
o Is the award in USASpending?
• Search for award at http://www.usaspending.gov/advancedsearch. If your award is listed on USASpending.gov, it
should also appear in FSRS.gov. If it does not, contact the
Federal Service Desk (www.fsd.gov) to have the record added
and include the USASpending URL.
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A Thesaurus-Based Search Tool
LikeThis provides a powerful and integrated search tool in a user
friendly interface. With the ability to find similar projects and
publications, Principal Investigators can more quickly and efficiently:
•find out new ideas for research based on what NIH has
awarded in the past;
•see what NIH is doing in his or her area of interest;
•use the information as a decision tool to determine if they need
to come up with a fresh research idea;
•and figure out in which study section his or her application
should be reviewed.
More at:
http://era.nih.gov/services_for_applicants/like_this/likethis.cfm
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• NIH issued a Guide Notice on Friday, September 28,
2012 announcing the transition timeline for the
ability to accept multi-project applications.
• NIH plans to transition all multi-project applications
to electronic submission by January 2014.
• Refer to NOT-OD-12-161 for details related to the
timeline.
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• Electronic submission of administrative supplement
pilot began February 1, 2012.
o Optional for all single project grantees
• Complex, multi-project grants not included in pilot;
o Parent FOA PA-12-100 used for submission
o Can submit through the eRA Commons
• To take advantage of pre-population of fields;
OR
o Can submit through Grants.gov
• For schools who have built systems to interact directly
with Grants.gov.
•
Contact IC or review IC web site before submitting
More at: NOT-OD-12-024
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• Pilot of electronic submission of post-award
Change of Grantee Organization applications
(Type 7)
• Available only if activity code of award has
transitioned to electronic submission of
competing application
• NIH Guide NOT OD-12-134
• Must use Parent FOA for Change of Grantee
Organization Applications: PA-12-270
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• Pilot of electronic submission of post-award
Change of Grantee Organizational Status
Successor-in-interest Applications (Type 6)
• Available only if activity code of award has
transitioned to electronic submission of
competing application
• NIH Guide NOT OD-12-133
• Must use Parent FOA for Change of Grantee
Organizational Status: PA-12-269
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• Pilot of electronic submission of Official
Statement Relinquishing Interests and Rights in
a PHS Grant (PHS 3734)
• eRA Change of Institution module
• Does not require activity code to have
transitioned to electronic application
submission
• NIH Guide NOT OD-12-132
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• Link broadly for all; decoupling this from any
impact score/percentile;
• Modified eRA-generated eNotifications to tighten
up for which applications these will be sent;
• Mandates use as of April 20, 2012
More at: NOT-OD-12-101
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• Register Early!
o Registration with both Grants.gov (organizations
only) and eRA Commons (organizations & PD/PIs);
must be completed before the submission deadline
o Allow 4 weeks to complete new registrations.
• Keep registrations active
o Central Contractor Registry (CCR) information must
be updated at least every 12 months to remain active;
o As of August 2011, Grants.gov rejects submissions
from applicants with expired CCR;
• Use your organization’s DUNS to view your CCR registration
status at http://www.bpn.gov/CCRSearch/Search.aspx
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• General Application Questions:
o E-Mail: GrantsInfo@nih.gov
o Phone: 301-435-0714
• Grants.gov Customer Support:
o E-Mail: support@grants.gov
o Webpage: http://grants.gov/
o Phone: 800-518-4726
• eRA Commons Helpdesk:
o Webpage: http://ithelpdesk.nih.gov/era/
o Phone: 301-402-7469 or 800-504-9552
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• Division of Grants Policy:
o E-Mail: GrantsPolicy@mail.nih.gov
o Phone: 301-435-0949
• Division of Grants Compliance & Oversight:
o E-Mail: GrantsCompliance@mail.nih.gov
o Phone: 301-435-0949
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Questions?
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