Mary Kirker

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Grants Management
Mary Kirker
Chief Grants Management Officer, NIAID
March 3, 2007
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When Do I Have to Submit a Modular Grant?

• Research project grant mechanisms (R01, R03, R15,
  R21) and RFAs with no more than 250,000 direct
  costs/year.
• F A can be requested on top of the 250,000
• Requested total direct costs in modules of
  25,000 reflecting appropriate support for
  project. There will be no future year
  escalations in the traditional sense.

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Review
Grants Management
Program
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The Grantee Institution Team
Institution
Authorized Institutional Official
Principal Investigator
Research Administrator
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Funding Factors InstitutesConsiders In Making
Awards

• Scientific Merit
• Contribution to the Mission of the Institute
• Program Balance
• Availability of Funds/Funding Strategy

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Institute/Center (IC)Funding Plans

• Develop a pay-line for each mechanism
• Success Rate
• Determine administrative reductions
• Average length of award
• How to fund non-competings
• Publicize it on the ICs website

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Just-In-Time Information

• NIH Policy allows submission of certain data
  elements to be deferred e.g., not at time of the
  initial application. Information is requested
  later, for those grants in a certain priority
  score range.
• Data elements includes
• IACUC Approval Date (within 3 yrs)
• IRB Approval Date (within 1 yr)
• Certification of Education on Human Subjects
• Other Support of Key Personnel

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Other Support

• NIH requires complete and up-to-date other
  support information before an award can be made.
• Complete means all sources of research support
  (including outside the applicant organization).
• Grantees must report changes in other support as
  part of the annual progress report.
• NIH Guide, February 13, 2003
• http//grants.nih.gov/grants/guide/notice-fil
  es/NOT-OD-03-029.html

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What is in the Notice of Grant Award (NGA)?

• Sent to the business official
• Legally Binding Document
• Establishes funding level
• Establishes period of support
• Sets forth terms and conditions
• NIH Contact Information
• Program Director
• Grants Management Specialist

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What is in the Notice of Grant Award? (cont)

• NGA Section III Standard Terms and Conditions
• 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
• Included/excluded from carryover as appropriate
• Streamlined Noncompeting Award Process (SNAP)
• Program Income

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NGA Special Terms and Conditions

• NGA Section IV IC Specific Terms and Conditions
• Cooperative agreement
• Restrictive terms
• Information items

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Grantee Acceptance

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

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What Can Delay the Award Process?

• Lack of or Slow Response to Inquiries
• Info sent without Identification
• Missing counter-signature of an authorized
  business official
• Budgets with Inadequate Justification
• Other Support for an Individual that adds to more
  than 100

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What Can Delay the Award Process?

• Missing information for Key Personnel
• Out-of-date IRB/IACUC approvals
• Lack of population data for clinical trials
• New Fiscal Year Federal Budget Continuing
  Resolution

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PostAward Non-Competing Continuation Progress
Reports

• An annual progress report is due two months prior
  to anniversary date
• Use the PHS2590 instructions and form pages found
  at http//grants.nih.gov/grants/funding/2590/2590
  .htm
• SNAP and Non-SNAP processes are detailed in the
  instructions

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Non-Competing Continuation Progress Reports

• Commons-registered institutions and PIs
• Have access to due date information through the
  Commons Status system
• Have access to pre-populated face pages via
  Status
• Submit Just in Time information and FSRs
• https//commons.era.nih.gov/commons/

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To SNAP or Not-to-SNAP!

• Awards typically SNAPd
• R Series Grants
• Awards typically NOT SNAPd
• Cooperative Agreements
• Clinical Trials
• Program Projects (P01s)
• Centers
• Training Grants

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SNAP Administrative and Fiscal Monitoring

• SNAP Streamlined Non-Competing Award Process
• Award in total direct and indirect costs
• Total costs as commitment base
• Modified financial reporting FSR only due at
  the end of the competitive segment
• Three questions in non-competing progress report

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SNAP Administrative and Fiscal Monitoring

• SNAP Questions
• Change in Other Support of key personnel?
• Change in the level of effort for key personnel?
• Estimated unobligated balance greater than 25 of
  current years total budget?

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Traditional/Non-SNAP Administrative Fiscal
Monitoring

• Submit complete non-competing progress report
  (PHS 2590)
• Detailed budget and updated other support
• Address unobligated balance greater than 25
• Categorical awards
• Total Costs as commitment base
• Annual Financial Status Reports

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Prior Approval

• http//grants1.nih.gov/grants/policy/nihgps_2003/i
  ndex.htm
• No-Cost Extensions beyond the first extension
• Change in Principal Investigator
• Change of Grantee Institution
• PreAward costs more than 90 days
• Addition of a foreign component

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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

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Prior Approval Issues

• Change in Scope
• Grantee makes the initial determination of
  significance of a change and should consult 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!

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Prior Approval Issues

• Change in Status (including absence of PI)
• Grantee must notify NIH if the PI will
• Reduce his/her time by more than 25 of approved
  effort at time of award
• Withdraw from the project
• Be absent for more than 3 months

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Prior Approval Issues

• Change in Status (including absence of PI )
• 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 Certification (if applicable)

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Prior Approval Issues

• 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 ICs Grants Management
  Specialist no later than 30 days before the
  proposed change
• Signed by the PI and administrative official
• Only responses to prior approval requests signed
  by the GMO are valid.
• See NIH Grants Policy Statement
• http//grants2.nih.gov/grants/policy/nihgps_2001/p
  art_iia_5.htm

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Rule of Thumb

• Whenever PIs are contemplating post-award
  changes and are uncertain about the need for
  prior approval, consult, in advance, with

• Office for Sponsored Research

• Written policies and regulations
• (e.g. NIH Grants Policy Statement Table II-2)

• NIH awarding components Grants
• Management Specialist named on your NGA

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Resources/Links

• NIH Grants Policy Statement (12/03)
  http//grants.nih.gov/grants/policy/nihgps_2003/in
  dex.htm
• NIH Guide http//grants.nih.gov/grants/guide/ind
  ex.html
• Electronic Submission of Grant Applications
  http//era.nih.gov/ElectronicReceipt/
• PHS2590 Progress Report (form pgs are
  PDF-fillable) http//grants.nih.gov/grants/fundi
  ng/2590/2590.htm
• Office of Extramural Research Grants Home Page
  http//grants.nih.gov/grants/oer.htm

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Resources/Links (cont.)

• Grants Administration Information Sources
  (Provides contact information for Grants
  Administration individuals at all NIH ICs)
  http//grants.nih.gov/grants/policy/grants_info.pd
  f
• Contact list for NIH Chief Grants Management
  Officers http//grants.nih.gov/grants/stafflist
  _gmos.htm
• Welcome Wagon Letter
• http//odoerdb2-2.od.nih.gov/gmac/sources/pol_welc
  ome2.html

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