Post-Award
Administration
Created By:
Geeta Chhabra
Introduction
• Mechanism of Funding
• Notice of Grant Award
• Cost Sharing
• Progress Reports
• Foreign Travel
• Re-budgeting Request
• Carryover Funds
• No-Cost Extension
• Transfer-In and Transfer-Out
• Close-Out
NIH Center for Scientific Review
Referral Office
eRA Commons
Study
Section
Review
Priority Score
Summary Statement
Grant Number
JIT
Assigns the
Study Section
AWARD
SAMPLE OF APPLICATION
IDENTIFICATION NUMBER
Serial
Number
Activity
Code
1
R01
New
Application
CA
Institution
Code
012345
Amendment
01
A1
Grant
Support Year
AO
Application Types
http://grants.nih.gov/grants/glossary.htm#A27
Type 1
New
Type 2
Competing Continuation (Renewals)
Type 3
Application for Additional (Supplemental) Support
Type 4
Competing Extension for an R37 (Merit Award)
Type 5
Non-Competing Continuation (Progress reports)
Type 7
Change in Grantee Institution
Type 9
Change in NIH awarding Institute or Division (Competing
Continuations)
Activity Codes
http://grants.nih.gov/grants/funding/ac_search_results.htm
D43
Institutional Training and Director Program Projects
DP1
NIH Director’s Pioneer Award (NDPA)
DP2
NIH Director’s New Innovator Award
F30
Individual Predoctoral NRSA for M.D./Ph.D. Fellowships (ADAMHA)
F31
Programs Predoctoral Individual National Research Service Award
F32
Postdoctoral Individual National Research Service Award
K08
Clinical Investigator Award (CIA)
K23
Mentored Patient-Oriented Research Career Development Award
K99
Career Transition Award
P01
Research Program Projects
P20
Exploratory Grants
P30
Center Core Grants
P50
Specialized Center
P60
Comprehensive Center
R00
Research Transition Award
R01
Research Projects
R03
Small Research Grants
Activity Codes (contd.)
R13
Conference
R21
Exploratory/Developmental Grants
R25
Education Projects
R56
High Priority, Short Term Project Award
S10
Biomedical Research Support Shared Instrumentation Grants (NCRR)
T01
Graduate Training Program
T32
Institutional National Research Service Award
T34
MARC Undergraduate NRSA Institutional Grants
T35
NRSA Short-Term Research Training
T37
Minority International Research Training Grants
U01
Research Project--Cooperative Agreements
U19
Research Project--Cooperative Agreements
U42
Animal (Mammalian and Non-mammalian) Model, and Animal and Biological
Materials Resource Cooperative Agreements (NCRR)
NIH INSTITUTES
http://www.nih.gov/icd/
NIH is made up of 27 Institutes and Centers, each with a specific
research agenda, often focusing on particular diseases or body systems
NCI
CA
National Cancer Institute
NEI
EY
National Eye Institute
NHLBI
HL
National Heart, Lung, and Blood Institute
NHGRI
HG
National Human genome Research Institute
NIA
AG
National Institute of Aging
NIAAA
AA
National Institute on Alcohol Abuse and Alcoholism
NIAID
AI
National Institute of Allergy and Infectious Diseases
NIAMS
AR
National Institute of Arthritis and Musculoskeletal and Skin Diseases
NIBIB
EB
National Institute of Biomedical Imaging and Bioengineering
NICHD
HD
Eunice Kennedy Shriver National Institute of Child Health and Human Development
NIDCD
DC
National Institute of Deafness and Other Communication Disorders
NIDCR
DE
National Institute of Dental and Craniofacial Research
NIH INSTITUTES (contd.)
NIDDK
DK
National Institute of Diabetes and Digestive and Kidney Diseases
NIDA
DA
National Institute of Drug Abuse
NIEHS
ES
National Institute of Environmental Health Sciences
NIGMS
GM
National Institute of General Medical Sciences
NIMH
MH
National Institute of Mental Health
NIMHD
MD
National Institute of Minority Health and Health Disparities
NINDS
NS
National Institute of Neurological Disorders and Stroke
NINR
NR
National Institute of Nursing Research
NLM
LM
National Library of Medicine
NIH CENTERS
CIT
Center for Information Technology
CSR
Center for Scientific Review
FIC
TW
John E. Fogarty International Center for Advanced Study in Health Sciences
NCCAM
AT
National Center for Complementary and Alternative Medicine
NCRR
RR
National Center for Research Resources
CC
NIH Clinical Center
Notice of Grant Award (Review)
• Grant Number (Assignment Number)
• Principal Investigator
• Project Title
• Dates – Budget and Project Dates
• Federal Direct and F & A Cost
• Recommended Future Support
• Fiscal Information:
–
–
–
–
CFDA Number (Catalog of Federal Domestic Assistance)
EIN
Document Number
Fiscal Year
• Terms and Conditions
• Staff Contact
Award Process
Following review of all applicable information, the IC will determine whether
an award will be made, if special conditions are required, and what level of
funding is appropriate.
Notice of Grant Award (NGA or NoA)
• The NGA is the legal document issued to notify the grantee that an
award has been made
• Funds may be requested from the designated HHS payment system or
office
•
An NGA is issued for the initial budget period
• Funding for subsequent budget periods are generally provided in annual
increments following the annual assessment of progress
Award Process (contd.)
Compliance with Terms and Conditions of Award:
• An NGA includes two sections (Sections III & IV) where terms of
award are described
• Section III of awards lists standard terms such as:
– Carryover authority when applicable
– Inclusion or exclusion to SNAP as applicable
– Treatment of Program Income
– Participation in the Federal Demonstration Partnership as
applicable
Award Process (contd.)
Section IV:
• Section IV of awards contains Special Terms and Conditions
specific to the particular NIH Institute/Center and/or specific to the
particular grant
• It is important that you pay careful attention to the terms and
conditions of an award, particularly any specific to the grant.
• In case of violation of these terms and conditions, NIH may place a
restriction on the award, or potentially terminate an award
Monitoring Basics
Monitoring your award requires that:
• Actual expenses are periodically compared with budget
• Actual expenses are accurate, i.e., reasonable, allocable, allowable and
consistently charged
• Mischarges are corrected in a timely manner
• Prior approvals are obtained when required
• Sub-recipient expenses are monitored
Prior Approval Requests:
All requests that require prior NIH approval must be:
– Made in writing (e-mail is acceptable)
– Sent to the Grants Management Specialist listed on the NGA
– At least 30 days before the proposed change
– Must be signed by the Authorized Organizational Representative
Note: Approvals must be obtained from the GMS through a revised NGA
or letter
Samples of Prior Approvals
• Change in scope of work
• Carryover of unobligated balances
– if the NGA indicates that the grantee does not have authority to
automatically carry over unobligated balances
• Change in status of the PD/PI or senior/key personnel
– withdrawal from the project
– absence for any continuous period of 3 months or more
– reduction of the level of effort devoted to the project by 25% or
more from what was approved in the initial application
• Change of grantee organization
Samples of Prior Approvals (contd.)
• Deviation from award terms and conditions
– undertaking any activities disapproved or restricted as a
condition in the NGA
• Purchase of Equipment ($25,000 or greater) not approved in the
initial application
• Re-budgeting of funds from Trainee costs
– The re-budgeting of amounts previously awarded for trainee
costs (stipends, tuition, and fees) to other categories
– This excludes trainee travel, which is not considered to be a
trainee cost, and training-related expenses
Cost Sharing
• Mandatory Cost-Sharing
– NIH may require UAB to contribute to the cost of the Project
• Voluntary Cost-Sharing
– UAB may choose to offer to cost-share a portion of the project
• Cost Sharing must be accounted for
• Cost Sharing is NOT required for receiving NIH awards
Progress Reports
Progress reports are required annually as part of the Non-Competing
Continuation Award Process
• The Non-Competing Continuation Progress Report (PHS 2590)
must be submitted to (and approved by) the NIH to fund each
additional budget period
• Non-SNAP awards require hard copy submission of the PHS 2590
60 days prior to the grant anniversary date
• Awards subject to SNAP (Streamlined Non-Competing Award
Process) are required to submit a progress report electronically 45
days prior to the grant anniversary date using the RPPR (Research
Performance Progress Report) module in the eRA Commons
Manage RPPR
Progress Reports (contd.)
RPPR (Research Performance Progress Report)
•
•
•
•
•
Replaced PHS 2590 (SNAPs) and PHS 416-9 (Fs)
Will replace PHS2590 (non-SNAPs)
Shows all of your grants at NIH
Hyperlinked grant numbers are RPPR eligible
Shows the due date, RPPR status, and current reviewer
Select Grant Number to access the RPPR Menu
RPPR Structure - Sections
A.
B.
C.
D.
E.
F.
G.
H.
Cover Page
Accomplishments
Products
Participants
Impact
Changes
Special (Agency) Reporting Requirements
Budget
• SF 424 ( R&R) Budget
- Used for all RPPR types
• PHS 398 Training Budget
-
Used for some Training awards only
Foreign Travel
https://blazerapps.uab.edu/CookieAuth.dll?GetLogon?curl=Z2FuabformsZ2FDi
sclosuresZ2Fdefault.aspx&reason=0&formdir=3
• Funds may be used for the travel of PD/PI, speakers, participants,
and attendees if:
– identified in the application and approved at the time of award
• If travel is to be charged to a federally sponsored account, additional
care should be exercised to comply with Federal, as well as
University regulations
• All federally sponsored foreign travel must be on a U.S.
flagship carrier, unless specific exceptions exist
The Fly America Act
Rebudgeting
http://www.uab.edu/osp/forms
• Grantees may re-budget between different categories
• Significant re-budgeting requires prior approval from Sponsor
– Significant re-budgeting occurs when expense in a single direct
cost budget category deviate (increase or decrease) more than
25 percent of the total cost awarded
– Equipment exceeding $25,000 per unit
– Contracting to a third party
– Re-budgeting funds in or out of patient care cost
Carryover Funds
• Unobligated balances are automatically carried over into the next
budget period without prior approval for Awards with Expanded
Authority (SNAP)
• Prior approval is required for Awards under Unexpanded Authority
– Letter addressed to the GMS
– Detailed budget
– Copy of the FSR
No-Cost Extensions
• Grantees may extend the final budget period of the project one time
up to 12 months via eRA commons without prior approval if:
– Additional time is required to ensure adequate completion of the
originally approved project
– Continuity of the grant support is required while a competing
continuation application is under review
– The extension is necessary to permit an orderly phase out of the
project
Note: Having unexpended funds is not an appropriate
justification for extending a project
No-Cost Extensions (contd.)
http://www.uab.edu/osp/forms
• Prior approval is required for second and third no- cost extensions
• OSP requirements:
– OSP expedited checklist
– Letter from the PI justifying the extension
– Period of extension
– Letter co-signed by the department Chairman
– Detailed budget
Note: NIH requires detailed budgets for second and third extensions
Thinking of Moving
In order to help make moving easier, please keep the following suggestions
and best practices in mind when considering transferring a grant:
• Notify the NIH program official and the GMS of the proposed move as
soon as possible
• Close out the grant at the old institution before moving, if at all possible
• Consider the timing of transfer
• Work closely with the sponsored programs office at your new institution
• Submit the entire transfer package together
Transfer-In
PA-14-078
Although NIH has not yet made electronic submission of the post-award
application mandatory, paper processes remain an option. Please submit
the following documents for the paper based PHS 398 application:
– Face Page (PHS 398) with “CHANGE OF GRANTEE
INSTITUTION” typed in capital letters across the top of the page
– Project Performance Site Primary Location PHS 398 Form Page 2
– A progress report for the current year, including a statement
regarding the goals for the upcoming year. This is required for
anniversary transfers and is strongly encouraged for mid-year
transfers
– A statement concerning the current research plan and an
indication of whether the original plan has changed. If changed,
appropriate details should be provided
Transfer-In (contd.)
-
A resources page including a description of the facilities at the new
institution and the probable effect of the move of the project
-
Budget Pages (current and future years)
-
Updated biographical sketches for the PI and new key personnel
-
Updated “other support” pages for all key personnel
-
NIH checklist page, which should include information on the basis
for computing F & A costs for the transfer period and future years
-
Human and Animal Assurances and IRB/IACUC approval dates
-
Human Subjects education certification for key personnel, if
applicable
-
A list of equipment, as presented on the old institution’s
Relinquishing Statement, to be transferred. Such a listing in the
application represents acceptance of title to the transferred
equipment
Transfer-Out
A request for a Transfer-Out application should be submitted to the
GMS with the following documents:
– Relinquishment Statement (PHS 3734)
 The estimate of the unexpended balance on the termination date should be
calculated ONLY from the funds awarded in the budget period being relinquished
and NOT the total balance from all grant years (including carryover)
 List in detail any equipment purchased with grant funds that is being transferred
to the new institution
– Final Inventions Statement (PHS 568)
– The Final Financial Status Report (FFR) is required for grant
closeout and is due 90 days following the termination date of the
project
Note: Both Transfer-In and Transfer-Out requests should be routed
through the OSP office along with the UAB Extramural Checklist
Start a New Relinquishment Statement
Change of Institution search options
Create a new Relinquishment Statement
Close-out
http://grants.nih.gov/grants/forms.htm
The Closeout process includes:
– Final Financial Status Report (FFR)
– Final Progress Report
– Final Inventions Statement
Note: Failure to submit timely close-out documents may affect
future funding to the organization
A Rule of Thumb
Whenever you are contemplating significant post-award
changes and you are uncertain about the need for prior
approval, please consult:
• Office of Sponsored Programs (UAB)
• NIH awarding component Grants Management officer or
Specialist
Finding Help
Web Sites for NIH and OSP
eRA Commons Help Desk
Resources
Links of interest:
– Electronic Research Administration:
http://era.nih.gov/
- Research Performance Progress Report (RPPR):
http://grants.nih.gov/grants/rppr/
– Applying Electronically:
http://grants.nih.gov/grants/ElectronicReceipt/index.htm
– NIH Grants Web site (Office of Extramural Research):
http://grants.nih.gov/grants/oer.htm
– NIH General Information:
http://grants.nih.gov/grants/policy/nihgps_2010/nihgps_ch1.htm#cost
_sharing
Resources (contd.)
– Office of Sponsored Programs (OSP):
http://www.uab.edu/osp/
– UAB Expedited Checklist:
http://www.uab.edu/uabra/ogca/ogcapdf/Expedited_Checklist.pdf
– Rebudgeting Request:
http://www.uab.edu/uabra/ogca/ogcapdf/rbtinter.pdf
– Cost Sharing Commitment Form:
http://www.uab.edu/uabra/ogca/ogcapdf/csinter.pdf
– UAB/VA Joint Appointment Memorandum of Understanding:
http://www.uab.edu/uabra/ogca/ogcapdf/vamem_active.pdf
– UAB Indirect Cost Revenue Redistribution Agreement:
http://www.uab.edu/uabra/ogca/ogcapdf/idcrra.pdf
Finding Help
eRA Commons Help Desk:
Hours: Mon.–Fri., 7 a.m. – 8 p.m. Eastern
Web: http://itservicedesk.nih.gov/era
Toll-free: 1-866-504-9552
Phone: 301-402-7469
TTY:
301-451-5939
Don’t forget to get a help desk ticket number if
your issue isn’t immediately resolved.
Thank you !!