# Presentation: 224731

##  Office of Grants Administration:(OGA)Roles & Responsibilities:Penny Jones Grants Management Specialist 

## The NIH Extramural Team

-   **Review**

**Program**

-      **Grants Management**

**Notes:**
.The NIH Extramural Team 

consists of review, program, and grants management segments.  

   The NIH seeks to ensure integrity and accountability in it grants administration processes by 
Relying on system of checks and balances
separation of responsibilities

None of theses entities are responsible for or report to the other.  Although these segments are separate and distinct, but do overlap in small but significant ways.  

## Grants Management Officer

***Monitors administrative and fiscal aspects of a project.***
- The GMO is the *only* NIH official authorized to obligate NIH to the expenditure of funds or to change funding amounts, budget/project period dates or other terms and conditions of a grant award.

## Grants Management Specialist

***Acts as an agent of the GMO***
- Interprets and applies Federal law and NIH policies and procedures
- Confirms costs requested are allocable, allowable and reasonable
- Analyzes grant applications prior to award
- Provides technical assistance to grantee
- Awards grant funds
- Reviews and responds to grantee prior approval and rebudgeting requests
- Assures documentation of official grant files

**Notes:**
Provides technical assistance: 
Answer questions about completing application forms
Provide guidance on the administrative and fiscal aspects of an award
Help navigate NIH grants management information on the Web

## Reviewing Competing Applications

**Reviewing Competing Applications**

## Sample Application Number

-   1     R01     CA   012345     01     A1/S2

**Serial Number**

**Funding Mechanism**

**Suffixes**

**Application Type**

**Institute/Center**
**(IC)**

**Year of Support**

**Notes:**
Application Type:  There are 9 different grant application types that may be used to identify the stages in the life cycle of a grant. 
Funding Mechanism: The grant type and funding mechanism determine the procedures and documents necessary to process the grant award.
Institute: Which institute is processing the award.
Serial Number: Identification number unique to this project.
Years of Support: Self-explanatory.
Suffixes: First amended application/first request for a supplement.

## Application Types

- Type 1:  New: Competing
- Type 2:  Competing Continuation
- Type 3:  Supplement
- Competitive: outside original scope
- Administrative: within the original scope
- Type 4:  Extension
- Type 5:  Non-competing Continuation
- Type 6:  Successor-In-Interest/Name Change
- Type 7:  Change of Grantee Institution
- Type 8:  Change of Institute: Non-competing
- Type 9:  Change of Institute: Competing

## Competing Applications

- Modular
- Requests costs in $25,000 increments
- Up to $250,000 Direct Costs (excluding 3rd party F&A)
- No detailed budget info.
- No individual salary info.

- Categorical
- Requests costs specific to each category
- Over $250,000 Direct Costs (excluding 3rd party F&A)
- Detailed budget info. for each category
- Institutional base salaries required

**Notes:**
Modular:  It is the grantee’s responsibility to determine which costs are allowable or not.
Categorical: The GMS must determine whether each line item is allowable, allocable, and necessary.
Justification:  Helps us determine that.  Helps us understand what the costs will be used for.
Type 2 Cap: For competing continuations, the GMS must evaluate whether or not the budget meets the type 2 cap.  If the budget is over, the grantee will be asked for a reduced budget that meets the cap.

##  Review of the Summary Statement

- Meeting/Council dates
- Priority Score/Percentile
- Human/Animal Subject codes
- Human/Animal Subject concerns or comments

- Gender/Minority/Child codes
- Committee Budget Recommendations
- Administrative notes

## Review of the Application

- New Investigator
- Foreign Grant- Fogarty Clearance Required
- Number of years in project period
- In response to RFA or PA
- Signed by appropriate officials
- Human subjects requirements met

- Animal subjects requirements met
- Key Personnel/Level of Effort
- Budget/Budget Justification (allocable, allowable, reasonable, necessary)
- Multiple Performance Sites
- Checklist

## Just-In-Time Information

- IRB Approval
- IACUC Approval
- Certification of Education for Human Subjects Research for all Key Personnel
- Other Support for Key Personnel

**Notes:**
Certification of Education for Human Subjects Research is required even if animal research falls under E4 (or any other exemption)

## Human Subjects Requirements

- Valid OHRP assurance for all performance sites
- IRB approval within 1 year of start date
- Clinical Trials/DSM
- Human subjects education certificates
- Resolution of any human subjects concerns, comments, codes on summary statement

- OHRP Website: _[http://www.hhs.gov/ohrp/](http://www.hhs.gov/ohrp/)_

**Notes:**
OHRP: Office for Human Research Protections

## Animal Subjects Requirements

- Valid OLAW assurance for all performance sites
- IACUC approval within 3 years of start date
- Resolution of any concerns, comments codes on summary statement

- OLAW Website: _[http://grants.nih.gov/grants/olaw/olaw.htm](http://grants.nih.gov/grants/olaw/olaw.htm)_

**Notes:**
OLAW: Office of Laboratory Animal Welfare

## Other Support

- NIH requires _complete_ and _up-to-date_ other support information prior to award for all key personnel (except consultants)
- _All _sources of research support (including outside the applicant organization).
- Percent efforts must be listed for each project.
- Grantees must report changes as part of the annual progress report.
**     ****NIH Guide, February 13, 2003**
**    ****	****http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-029.html**

## Other Pre-Award Issues

- F&A rates
- Funding plan and spreadsheets
- Negotiate start date
- Data sharing plan
- Model Organism plan

## Greensheets

- Electronic checklist developed by NCI
- Completed by program directors and grants management specialists
- Includes questions about human/animal subjects, funding plan, biohazards, foreign involvement, model and data sharing, other support etc...
- Program greensheet needed before specialist greensheet
- Special issues or concerns should be documented in detail
- Additional documents or correspondence may be attached to the greensheet

## Slide 17

## The Notice of Grant AwardNGA OverviewTerms of Award

## Notice of Grant Award (NGA): Overview

- Identifies grantee, project, PI etc...
- Indicates funding level
- Indicates period of support
- Sets forth Terms and Conditions
- Provides NIH Contact Information

- LEGALLY BINDING DOCUMENT

## Terms of AwardThe following terms are automatically incorporated into every award:

- Applicable laws and regulations-including 45 CFR Part 74 or 45 CFR Part 92 as appropriate
- Restrictions on the expenditure of federal funds included in appropriations acts
- Reference to the NIH Grants Policy Statement

## Terms of AwardAdditional terms and conditions may be added to the award to:

- Convey general information
- Place restrictions on the award
- Put special requirements in place
- Include IC specific information or requirements

## Terms of Award

- By drawing down funds from the Payment Management System, the grantee acknowledges acceptance of the award including all terms and conditions attached to the award.

- Reviewing Non-Competing Continuation Progress Reports

## Continuing Support

- Grant awards generally for a three, four or five year project period
- Continuing support provided on annual basis subject to the appropriation of funds by Congress
- Support subject to acceptable scientific progress by the PI
- Funds for each future budget period are requested on the non-competing continuation progress report.

## Non-Competing Continuation Progress Reports

- Due 60 days prior to anniversary date (unless E-SNAP:  Due 45 days prior to anniversary date)
- Specialist reviews application, other support, other supporting materials
- Verifies human/animal subjects assurances and IRB/IACUC approvals
- Resolves budgetary issues (carryover requests, restricted funds, financial status reports, etc...)
- Completes greensheet
- Terms of award
- Issue NGA

## Streamlined Non-Competing Application Procedures

- Total Committed Costs are the basis for the award
- Modified financial reporting – FSR only due at the end of the competitive segment
- Three questions in the non-competing progress report

**Notes:**
3 Questions:  The GMS pays particular attention to the answer of the third SNAP question...about the unobligated balance and whether or not it is above 25%.  May prompt the GMS to restructure the award.

## Streamlined Non-Competing Application Procedures

- SNAP Questions:
- Change in the other support of key personnel?
- Significant change in the level of effort for key personnel?
- Estimated unobligated balance greater than 25% of current year’s total budget?

## Traditional/Non-SNAP  Applications

- Submit complete non-competing progress report (PHS 2590)
- Detailed budget and updated other support
- Address unobligated balance greater than 25%
- Categorical awards
- Total committed costs are the basis for the award
- Annual Financial Status Reports

## OGA Post Award Responsibilities:Application of Administrative Requirements

##     Expanded Authorities

- NIH has waived some cost-related and other prior approval requirements for many activities.
- Authorities have expanded to include all mechanisms
**	****http://grants2.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part7.htm**

**Notes:**
NIH has waived cost-related and other prior-approval requirements for many activities and expenditures, and provided authority for these activities and expenditures to the grantee. These operating authorities are termed “expanded authorities.” 

## Grantee’s Expanded Authorities:What does this mean for the grantee?

- No Cost Extensions
- The final budget period may be extended up to 12 months by the grantee.
- Notify NIH awarding office 10 days prior to the expiration date of the project period (unless notification is through the Commons, which is acceptable up to the last day of the budget period).

## Grantee’s Expanded Authorities:What does this mean for the grantee?

- 	Automatic Carryover
- The grantee may carry over an unobligated balance from one budget period to another, as long as the 	mechanism is not specifically 	excluded from automatic carryover 	and the funds are not restricted from 	carryover in the terms of award.	**	****	****	****	**

## Expanded Authorities

- Rebudgeting:
- 	Grantees may rebudget awarded funds between categories as long as the rebudgeting does not signify a change in the project scope.

##  Activities Requiring Prior Approval 

- No-Cost Extensions beyond the first extension
- Change in Principal Investigator
- Change of Grantee Institution
- Pre-Award costs of more than 90 days
- Addition of a foreign component

## Activities Requiring Prior Approval

- Carryover of restricted funds
- Retention of research grant funds when a career (K) award is issued
- Undertaking activities disapproved or restricted as a term of award
- Change in Scope or Research Objectives

## Prior Approval Requests

**All requests for prior approval must be:**
- Submitted in writing (includes emails)
- Submitted to the awarding IC’s Grants Management Specialist no later than 30 days before the proposed change
- Signed by the PI and administrative official
- Approved by program and grants management staff
**	**

## Responding to Prior Approval Requests

- The Office of Grants Administration serves as the focal point for receiving and responding to all correspondence from the grantees related to business management activities.

## Responding to Prior Approval Requests

- Official response to grantee requests must by sent by the OGA
- Letters of denial must by signed by the Chief Grants Management Officer
- The official grant file resides in Egrants

## Summary of Responsibilities

- Review administrative portion of application
- Obtain valid IRB/IACUC approval dates
- Obtain program director’s resolution of human/animal subject issues
- Review other support for salary or effort overlap
- Assist grantee with budgetary and policy issues

- Complete specialist Greensheet
- Evaluate requests for prior approval
- Copy program director on all correspondence
- Issue all official documents
- Compose and interpret the terms of award
- Issue Notice of Grant Award

- Grants Management Specialist

## Helpful Websites

- Human Subjects (OHRP)  _[http://](http://www.hhs.gov/ohrp/)__[www.hhs.gov/ohrp](http://www.hhs.gov/ohrp/)__[/](http://www.hhs.gov/ohrp/)_
- Animal Subjects (OLAW) _[http://grants.nih.gov/grants/olaw/olaw.htm](http://grants.nih.gov/grants/olaw/olaw.htm)_
- OER _[http://grants.nih.gov/grants/oer.htm](http://grants.nih.gov/grants/oer.htm)_
- NCI Workbench _[https://i2e.nci.nih.gov/workbench/WorkbenchView](https://i2e.nci.nih.gov/workbench/WorkbenchView)_
- Office of Grant Administration _[http://www3.cancer.gov/admin/gab/index.htm](http://www3.cancer.gov/admin/gab/index.htm)_
- Dec 2003 Grants Policy Statement _[http://grants.nih.gov/grants/policy/nihgps_2001/index.htm](http://grants.nih.gov/grants/policy/nihgps_2001/index.htm)_
- EFDB Intranet _[http://camp.nci.nih.gov/admin/oem/efdb/](http://camp.nci.nih.gov/admin/oem/efdb/)_
- NIH Updates/Guide Notices _[http://grants.nih.gov/grants/guide/search_results.htm?year=active&scope=not](http://grants.nih.gov/grants/guide/search_results.htm?year=active&scope=not)_

## THANK YOU!