Office of Grants Administration OGA: Roles and Responsibilities

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Office of Grants Administration (OGA)Roles and
Responsibilities

• Leslie Hickman
• Grants Management Specialist

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The NIH Extramural Team
Review
Grants Management
Program
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Function of Grants Management

• Complement technical role of Program
• Overall responsibility for monitoring grants
  process
• Facilitate timely business management actions by
  grantee
• Ensure timely and appropriate actions by the
  government

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Grants Management Officer (GMO) Activities

• Evaluate application for administrative content
• Negotiate grant awards
• Provide consultation and technical assistance
• Focal point for receiving and acting upon
  requests for prior NIH approval
• Involvement in all stages of pre-application and
  application review

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OGA Responsibilities

• The GMO is the ONLY NIH official authorized to
  obligated NIH to the expenditure of funds or to
  change funding, duration, or other terms and
  conditions
• OGA maintains the official grant file for NCI

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Pre-application Application Review

• Review and comment on FOAs
• Resource for the grantee and Program Director on
  budgetary and policy matters
• Attend site visits, peer review, and NCAB
  meetings as necessary

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Post NCAB Review

• Review applications selected for funding for
  compliance with applicable requirements
• Exception funding

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Competing Applications

• Categorical
• Requests costs specific to each category
• Over 250,000 Direct Costs (excluding 3rd party
  FA)
• Detailed budget information for each category
• Institutional base salaries required

• Modular
• Requests costs in 25,000 increments
• Up to 250,000 Direct Costs (excluding 3rd party
  FA)
• No detailed budget information
• No individual salary information

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Preaward Review

• IRB/IACUC Approvals
• Certification of Education for Human Subjects
  Research for all Key Personnel
• Other Support for Key Personnel
• Requested by the PD
• The PD identifies scientific overlap, OGA
  identifies budgetary and commitment overlap
• Review requested budget
• Review Financial Status Reports (FSRs)

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Preaward Review (continued)

• Negotiate amount of award based upon current
  funding plan
• Prepare and document Program and GMO
  recommendations for concurrence memos
• Compose and track special terms and conditions of
  award

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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-fil
  es/NOT-OD-03-029.html

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Other Support Additional responsibilities if the
pending grant will be the fifth or higher funded
award for the PI

• Request clarifying information that lists each of
  the grants the PI currently receives, the
  approved effort on each grant as well as the
  effort on the pending award
• Forward updated information to the NCI Program
  Official for review
• Send an e-mail to all relevant Program staff to
  organize a discussion of the grants currently
  funded by NIH

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Other SupportAdditional responsibilities
(continued)

• If it is determined that additional information
  is needed, request a commitment management plan
  for the PI
• Forward the commitment plan to all relevant
  Program and Grants Management staff for review
  and approval
• Add term to the award requiring compliance with
  the commitment plan as proposed
• Update the NCI grant file for each grant with a
  copy of the approved commitment plan

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The Electronic Grant File

• The official grant file resides in Egrants
• OGA is in the process of destroying paper files.
• Egrants is used by OGA to electronically document
  all aspects of the grant
• All grantee requests received via paper copy are
  uploaded into Egrants
• Programs shadow files are unnecessary

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OGAs Electronic Award Process

• Application received and reviewed electronically
• Excel spreadsheet for budget work-up
• GMS Document Control Sheet (Greensheet)
• Award prepared in IMPAC II (import budget and
  terms)
• NGA issued electronically to grantee

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Document Control Sheet (Greensheets)

• Electronic Greensheets document the complete
  review of the application.
• Completed by program directors and grants
  management specialists
• Includes questions about human/animal subjects,
  funding plan, 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

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The Notice of Grant AwardNGA OverviewTerms of
Award
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Notice of Grant Award (NGA)
LEGALLY BINDING DOCUMENT

• Identifies grantee, project, Principal
  Investigator
• Indicates funding level
• Indicates period of support
• Sets forth Terms and Conditions
• Provides NIH Contact Information

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Terms of AwardThe 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

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Terms of AwardAdditional terms and conditions
may be added to the award to

• Convey general information
• Include IC specific information or requirements
• Place restrictions on the award

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Terms of Award Terms addressing the following
information are added by the specialist to every
NCI award

• NCI Grants Management Specialist and Program
  Director contact information
• Customer service feedback website
• PubMed Central (PMC) for original research
  publications resulting from support from NIH

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Terms of Award

• A grantee indicates acceptance of an NIH award
  and its associated terms and conditions by
  drawing or requesting funds from the designated
  HHS payment system or office.
• NIH Grants Policy Statement, December 2003
• http//grants2.nih.gov/grants/policy/nihgps_2003/N
  IHGPS_Part5.htm

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Reviewing Non-Competing Continuation Progress
Reports
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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.

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Non-Competing Continuation Progress Reports

• Due 60 days prior to anniversary date (unless
  E-SNAP Due 45 days prior to anniversary date)
• Progress Reports are received centrally scanned
  into IMPACII.
• Specialist reviews Progress Report electronically
  (E-grants)
• Verifies human/animal subjects assurances and
  IRB/IACUC approvals
• Reviews changes in updated Other Support
• Resolves budgetary issues (carryover requests,
  restricted funds, financial status reports, etc)
  
• Completes greensheet
• Terms of award
• Issue NGA

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Streamlined Non-Competing Application Procedures
(SNAP)

• 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

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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 years total budget?

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Traditional/Non-SNAP Applications

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

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OGA Post Award Responsibilities

• Follow up on restrictive terms of award.
• Involved in audit resolutions
• Misconduct concerns
• Prior approval requests

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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.
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Activities Requiring Prior Approval

• No-Cost Extensions beyond the first extension
• Change in Principal Investigator
• Pre-Award costs of more than 90 days
• Addition of a foreign component
• Change in scope or research objectives
• Significant reduction in effort by PI or other
  key personnel named in NGA

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Prior Approval Requests

• All requests for prior approval must be
• Submitted in writing (e-mails are acceptable)
• Submitted to the awarding ICs Grants Management
  Specialist no later than 30 days before the
  proposed change
• Signed by an institutional business official
• Approved by program and grants management staff

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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

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How can you help?

• Send all correspondence to OGA
• Request other support from grantees
• Complete the PD greensheet in a timely manner (by
  1st of the month)
• Forward all requests to appropriate offices
• OHRP/OLAW for negotiation of human/animal
  assurances
• Fogarty for foreign involvement
• Immediately report to DEA and OGA any allegation
  of misconduct (either fiscal or scientific). Make
  no contact with grantee/PI. NCI should meet
  discuss the issue.

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Helpful Websites

• NIH Grants Policy Statement (Rev. 12/03)
  http//grants.nih.gov/grants/policy/nihgps_2001/in
  dex.htm
• Human Subjects (OHRP) http//www.hhs.gov/ohrp/
• Animal Subjects (OLAW) http//grants.nih.gov/grant
  s/olaw/olaw.htm
• OER http//grants.nih.gov/grants/oer.htm
• NCI Workbench https//i2e.nci.nih.gov/workbench/Wo
  rkbenchView
• Office of Grant Administration http//www3.cancer.
  gov/admin/gab/index.htm
• EFDB Intranet http//camp.nci.nih.gov/admin/oem/ef
  db/
• NCI Grants Process Book Located on NCIs Office
  of Grants Administration webpage
  http//www3.cancer.gov/admin/gab/index.htm
• Electronic Submission of Grant Applications
  Homepage http//era.nih.gov/ElectronicReceipt/inde
  x.htm
• NCI Grants Process Book (Located on NCIs Office
  of Grants Administration webpage)
  http//www3.cancer.gov/admin/gab/index.htm