DCB New Grantee Workshop: Post-Award Administration of Grants Brett Hodgkins Team Leader National Cancer Institute Office of Grants Administration

Post-Award Administration of Grants  Roles and Responsibilities  Expanded Authorities  Prior Approvals  Progress Reports  Grant Closeout

I. Roles and Responsibilities Grants Management Specialist -Monitors the fiscal and administrative aspects of the project -Assures compliance with federal regulations, policies and procedures -Is the only NIH official authorized to change funding, duration and terms of award

Roles and Responsibilities Grantee -Assures compliance with federal regulations, policies and procedures -Monitors proper conduct of the project -Fiscal management of the project -Award is made to organization/institution, not the Principal Investigator

Authorized Organizational Representative Lines of Communication Grants Management Specialist Project Director / Principal Investigator Program Official

II. Expanded Authorities What is it? 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.

Expanded Authorities Grantee Organizations already have prior approval for many activities and expenditures - 1 st No Cost Extensions - Rebudgeting (that results in no scope change) - Transferring performance of work to a 3 rd Party (domestic)

Summary of Expanded Authorities May exercise as expanded authority Except Carryover of unobligated balances from one budget period to the next Centers (P50, P60, P30, other), cooperative agreements (U), Kirschstein-NRSA institutional research training grants (T), non-Fast Track Phase I SBIR and STTR awards (R43 and R41), clinical trials, and awards to individuals, or if the NGA indicates otherwise. Cost-related prior approvals, including research patient care costs and equipment If the scope would change. Extension of final budget period of a project period without additional NIH funds If the grantee already has given itself one extension of up to 12 months. Transfer of performance of substantive programmatic work to a third party (by consortium agreement) If the transfer would be to a foreign component or it would result in a change in scope.

III. Prior Approvals Second No Cost Extension Change of Principal Investigator Change of Grantee Institution Addition of a foreign component Undertaking activities disapproved or restricted by term of award Change in scope

Requests for Prior Approval Requests for NCI prior approval must be: 1. Submitted in writing (at least 30 days prior to the proposed change) 2. Signed by the PI and Business Official The only official response to prior approval requests are written responses signed by the GMO

Transfers Prior approval needed Current institution must relinquish rights to the award Notify your PD/Grants Management Specialist as soon as possible to get started Can take several weeks/months to complete the process

IV. Research Performance Progress Report (RPPR) Required for SNAPs (5R01s, 5R03s, 5R21s, etc.) starting with 07/01/2013 cycle dates Due date: 45 days before cycle date Office of Management and Budget (OMB) mandated RPPR for standardized recipient reporting on federally-funded research projects Annual Progress Report must be submitted for NIH to authorize continued funding of your award

Progress Reports Elements: 1. Face Page 2. Critical Elements/SNAP Questions 3. Scientific Progress/Aims

Key Elements of Face Page Addresses Human Subjects / Assurance Vertebrate Animals / Assurance Inventions and Patents

Critical Element #1 (previously referred to as SNAP Question #1) Has There Been A Change in the Other Support of Senior/Key Personnel Since the Last Reporting Period?

Critical Element #2 (previously referred to as SNAP Question # 2) Will There Be, In the Next Budget Period, A Significant Change in the Level Of Effort for the PD/PI or Other Senior/Key Personnel Designated on the Notice of Award From What Was Approved For This Project?

Critical Element #3 (previously referred to as SNAP Question # 3) Is It Anticipated That An Estimated Unobligated Balance (Including Prior Year Carryover) Will Be Greater Than 25% of The Current Year’s Total Approved Budget?

Scientific Progress/Aims A programmatic responsibility If aims/objectives are not being met, further action can be taken Oftentimes failure to meet aims/objectives can go hand-and-hand with existence of unobligated balance

V. Closeout Items That Must Be Submitted within 90 days of the expiration date of the grant: Federal Financial Report Final Invention Statement Final Progress Report

Helpful Information www3.cancer.gov/admin/ gab/index.htm