# Presentation: 549559

## Role of Grants Management

- Review

- Program

- Grants
- Management

**Notes:**
My name is George Tucker.  I am the Deputy Chief of the Grants Management Branch.  I will be addressing the role of Grants Management.  I will briefly touch on Review and Program.  Those topics will be addressed in greater detail.  While covering Grants Management’s roles I will also address your role and the role of the Grantee.

Review, Program and Grants Management work together as a team.

## Review

- Performs administrative and technical review of applications
- Selects reviewers
- Manages study sections and project site visits
- Prepares summary statements
- Provides any requested information about study section recommendations
- Point of contact for applicants

**Notes:**
The review of application are conducted by Review.  The scientific Review Administrator performs the administrative and technical review of applications.  

## Program

- The Program Official is the NIH official knowledgeable of the programmatic, scientific, and/or technical aspects of assigned applications and grants
- The Program Official is responsible for the scientific monitoring of the research

**Notes:**
The Program oversee the scientific and technical aspect of the grant.

## Grants Management

- The Grants Management Officer (GMO) is the NIH official responsible for the business management of the award, including but not limited to:
- evaluating grant applications for administrative content and compliance with statutes, regulations and guidelines
-  negotiating grants

**Notes:**
You will have greater contact with the Grants Management Office if you are in danger of being funded.  Once your application is identified of being funded the Grants Management Office will contact you for further information.

The person that oversees the Grants Management Office is the Grants Management Officer; also referred to as the GMO.

## Grants Management

- providing consultation and technical assistance to applicants and grantees, including interpretation of grants administration policies and provisions
- administering and closing out grants

**Notes:**
The GMO collaborate with program and review staff in the development and planning of programmatic initiatives.  Grants Management is involved in the pre-award review of applications and post-award monitoring of grant awards.

Grant files are maintained in the Grants Management Branch.

## Grants Management

- The GMO is the only NIH official authorized to obligate NIH to the expenditure of funds or to change the funding, duration, or other terms and conditions of award

**Notes:**
The GMO has sole authority to obligate grant funds and modify terms of award.  The GMO most times designate a agent to obligate funds on his behalf; that person is the Grants Management Specialist.  This is the person to whom you will have the greatest contact in the grant office.

## Grants Management

- The Grants Management Specialist is an Agent for the Chief Grants Management Officer
- Reviews and responds to grantee requests or identifies need for other grant changes
- Assures compliance with Federal regulations, policies and procedures
- Conduct pre-award reviews

**Notes:**
The Grants Management Specialist is involved in the pre-award process. 

## Grants Management

**Preaward Responsibilities**
- Administrative Review of Grant Applications
- Assurances/Certifications
- Cost Analysis of Budget
- Grantee Financial Capability
- Other Support

**Notes:**
Pre-award responsibilities include but are not limited to application review:
*Assurances and both federal and institutional reporting requirements
*Compliance with NIH and DHHS requirements and with other appropriate rules and policies.

*Cost Analysis of Budget review includes:
-Reasonableness of costs
-Adherence to cost principles
-Relationship of costs to the proposed project
-determine grantee eligibility and financial management capabilities 

## Grants Management

- Assurances

- Special terms of award

- Other Support

- Streamlined Noncompeting Award Process

*Grantee Eligibility*

- File Documentation

- Interim funding

*Grantee Financial Capability*

**Cost Analysis**

- Pre-Award

**Notes:**
Examples of pre-award activities

## Grants Management

- The Grants Management Specialist Analyzes grant application budgets and other grant related information
- Interprets Federal regulations and policies
- Awards grant funds
- Conducts post award reviews

**Notes:**
The post-award process begins with the awarding of grant funds.

## Grants Management

- Post Award Responsibilities
- Administrative review of noncompeting applications
- Ensure compliance with appropriation and authorizing legislation, and OMB, HHS, NIH, and NIDDK policies and procedures

**Notes:**
Post award responsibilities include funds control of grant, maintaining official grant files.
Review and approve prior approval requests
Ensure compliance with special terms of award, perform staff visits and resolve audit findings.

## Grants Management

- Offsets

- Special terms of award

- Financial Status Reports

- Change of Investigator

- Successor in interest

- Close-out

- Supplements

*Change of Grantee Institution*

- Restrictions on Award

- Extensions

- Assurance of Compliance

- Unobligated/Unliquidated Balances

- Post Award

**Notes:**
Examples of post award activities

## Recipient Institution

- The grantee organization is the legal entity responsible and accountable to the NIH for the performance and financial aspects of the research project
- Grants are awarded to grantee organizations on behalf of Principle Investigators (PI)

**Notes:**
Recipients of NIH grant funds must comply with all applicable federal statues, regulations, and policies.

## Authorized Institutional Official

- This official is the designated representative of the grantee organization in matters related to the award and administration of its NIH grants, including those that require NIH approval or changes in award terms and conditions

## Authorized Institutional Official

- The signature of the authorized institutional official is required for all official correspondence to NIH

## Authorized Institutional Official

- This individual's signature on the grant application further assures that the applicant organization will be accountable both for the appropriate use of funds awarded and for the performance of the grant-supported project or activities resulting from the application

**Notes:**
With the drawing on funds from the HHS Payment Management System, grantees agree to the terms and conditions of the grant award.

## Authorized Institutional Official

- The authorized institutional official is accountable both for the appropriate use of funds awarded and for the performance of the grant-supported project or activities resulting from the application

## Principal Investigator

- The Principal Investigator is the member of the grantee team responsible for the scientific or technical aspects of the grant and the day-to-day management of the project
- The PI ensures compliance with the financial and administrative aspects of the award

**Notes:**
You must be in compliance with institutional as well as federal requirements.

## Principal Investigator

- NIH encourages the PI to maintain contact with the NIH Program Official with respect to the scientific aspects of the project
- NIH also encourages the PI to maintain appropriate contact with the Grants Management Officer concerning the business and administrative aspects of the award

##  Principal Investigator

- The PI works closely with designated officials within the grantee organization to:
-  create and maintain necessary documentation, including both technical and administrative reports

**Notes:**
We do not encourage you to go around your institutional requirements.  Institutional requirements may be more restrictive.  You are encouraged to work with your designated institutional officials.

##  Principal Investigator

-  prepare justifications
- ensure that Federal support of research findings is appropriately acknowledged in publications, announcements, news programs, etc.
- comply with organizational as well as Federal requirements

## What If I Have a Question?

- Can my question be answered at my institution?
- Can my question be answered by written policy or regulations?
- Should my question be answered by an office at NIH?  Should I call the Grants Management Specialist or Program Official indicated on the Notice of Grant Award?

## Information Sources

- Office for Sponsored Research
- Notice of Grant Award (terms of award)
- NIH Grants Policy Statement
- NIH Guide for Grants and Contracts
- NIH Office of Extramural Research Homepage
- Welcome Wagon Letter
- Grants Information at _**grantsinfo@nih.gov**_