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

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

3. 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

4. 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

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

6. Notice of Award (NoA) -Legally binding document -Sent to the Business Office -Must be read carefully before starting the project  Establishes funding level, period of support  Sets forth terms and conditions of award  Provides contact information for NCI Program Director and Grants Management Specialist

7. Notice of Award Name and address of grantee institution Project Title Name of Principal Investigator Period of support Future year funding Terms and Conditions

8. Notice of Award

9. Effective January 1 st, 2008, NIH will no longer provide paper notifications of the Notice of Award letters. The Notices of Award will be sent solely via e-mail to the grantee organizations and will be accessible in the eRA Commons through the Status Module

10. 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.

11. Expanded Authorities Grantee Organizations already have prior approval for many activities and expenditures - 1 st No Cost Extensions - Carryover of unobligated balances - Transferring performance of work to a 3 rd Party

12. 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.

13. 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 Request for additional NIH funds Change in scope

14. Change in Scope Change in the specific aims Shift in the research emphasis Significant rebudgeting Change in Key Personnel Change in usage of human/animal subjects

15. Change in Scope "Change in Scope: In general, the PI may make changes in the methodology, approach, or other aspects of the project objectives. However, the grantee must obtain prior approval from NIH for changes in scope, direction, type of training, or other areas that constitute a significant change from the aims, objectives, or purposes of the approved project.

16. Requests for Prior Approval Requests for NCI prior approval must be: 1. Submitting in writing 2. Submitted at least 30 days prior to the proposed change 3. Signed by the PI and Business Official

17. Requests for Prior Approval E-mail requests are acceptable, but must include: 1. Grant number 2. PI name 3. Contact information for PI/Business Office

18. Requests for Prior Approval The only official response to prior approval requests are written responses signed by the GMO - Revised Notice of Award -Letter signed by the GMO addressing the specific request

19. Requests for Prior Approval When PIs are uncertain about requests for prior approval, consult in advance with: -Your Office of Sponsored Research -Written policies and regulations (such as NIH Grants Policy Statement) -NIH Grants Management Specialist

20. Progress Reports Information to be included is specified in the PHS 2590 instructions http://grants1.nih.gov/grants/funding/2590/2590.htm Annual Progress Report must be submitted for NIH to authorize continued funding of your award

21. Progress Reports Due Dates: -45 days prior to renewal date (eSNAP) -60 days prior to renewal date (hard copy) Elements: 1. Face Page 2. SNAP Questions (if applicable) 3. All Personnel Report 4. Scientific Progress/Aims

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

23. SNAP Question # 1 Has There Been A Change in the Other Support of Senior/Key Personnel Since the Last Reporting Period?

24. 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?

25. 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?

26. All Personnel Report http://grants.nih.gov/grants/guide/notice-files/NOT- OD-09-139.html http://grants.nih.gov/grants/guide/notice-files/NOT- OD-09-140.html http://grants.nih.gov/grants/guide/notice-files/NOT- OD-09-150.html

27. 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

28. Non-SNAP Applications IRB/IACUC approval dates Detailed budget pages Annual FSR requirement Other Support Carryover/unobligated balance information

29. Closeout Items That Must Be Submitted within 90 days of the expiration date of the grant: Financial Status Report Final Invention Statement Final Progress Report http://grants.nih.gov/grants/policy/nihgps_2003/NIH GPS_Part8.htm#_Toc54600151

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

31. Helpful Information NIH Grants Policy Statement http://grants.nih.gov/grants/policy/nihgps_2003/NIH GPS_Introduction.htm#intro_top

32. Thank you!!!! Brett Hodgkins hodgkinsb@mail.nih.gov