Sponsor Updates Children’s Memorial Hospital Office of Sponsored Programs (OSP)

1. Sponsor UpdatesChildren’s Memorial HospitalOffice of Sponsored Programs (OSP) Colleen Grogan(Principal Investigators with last names A-M)773-755-6335 cgrogan@childrensmemorial.org Kimberly Deprey(Proposal backup and ERA Implementation (Principal Investigators with last names N-Z) 773-755-6307kdeprey@childrensmemorial.org Harmony Maple 773-755-6334 hmaple@childrensmemorial.org

2. Grants.Gov Transitioning to Adobe Forms • Grants.Gov is moving from the Pure Edge software format to Adobe.pdf • The announcement will most likely be released after June 2007 • Preliminary announcements have indicated an October 2007 rollout

3. Grants.Gov Transitioning to Adobe Forms • Update for Mac users, the Adobe forms will now work on a Mac. • Adobe Reader v7.0.9 will be required, purchase this version in order to save your changes within the forms. The free version will allow you to open the forms, not edit and save.

4. Grants.Gov Transitioning to Adobe Forms • Grants.gov will continue to accept and process PureEdge application packages until September 30, 2007. More updates to follow!

5. NIH Updates • Effective January 1, 2007 the NIH salary cap was increased to $186,600. • Funding Opportunity Announcement (FOA) – An announcement identifier for all electronic applications. • “Parent” Announcements: The NIH and other HHS Agencies now publish “Parent” or umbrella announcements for investigator-initiated applications, formally known as unsolicited announcements.

6. NIH Receipt Dates • Effective February 2007 the NIH announced a change in standing application receipt dates • See schedule in your handout or link to submission schedule below http://grants.nih.gov/grants/funding/submissionschedule.htm

7. NIH Multiple PI Applications • NIH has established Multiple Principal Investigator Awards. • Goal: Encourage collaborations among equals when “Team Science” is the most appropriate approach to a scientific problem. • Multiple PI website FAQs: http://grants.nih.gov/grants/multi_pi/index.htm

8. NIH Multiple PI Applications • Allowable to most research grant applications • Exceptions: • Individual Career Awards K08, K23, etc. • Individual Fellowships F21, F32, etc. • Shared Instrumentation Grants S10 • Always refer to the FOA for clarification

9. NIH Multiple PI Applications • Leadership Plan required describing roles and responsibilities and working relationship of the identified PI’s • The Contact PI is responsible for communication between the NIH and the leadership team • All PI’s share equal responsibility and authority

10. NIH Multiple PI Applications • The “New Investigator Box” on the application can only be checked if all PI’s are classified as new investigators • The standard NIH review criteria has been modified to accommodate multiple PI applications. • PI’s from different institutions will be managed through subcontracts

11. NIH Multiple PI Applications • New Investigator Definition: Not previously served as PI on any PHS research project other than a R03, R15, R21, or certain mentored research career development awards. • Current or past recipients of Independent Scientist and other non-mentored career awards (K02, K04, K05, K24, and K26) are not considered new investigators. http://grants.nih.gov/grants/funding/phs398/phs398.doc

12. NIH Multiple PI Applications • The decision to apply for a single PD/PI or multiple PD/PI grant is the responsibility of the investigators and the applicant organization and should be determined by the scientific goals of the project.

13. NIH New Limits on Appendix Materials • Effective as of January 3, 2007 (NOT-OD-07-018) • Information that May Be Included in the Appendix: Publications (Limit 3) • Manuscripts and/or abstracts accepted for publication but not yet published. • Published manuscripts and/or abstracts only when a free, online, publicly available journal link is not available. • Patent materials directly relevant to the project. • Surveys, questionnaires, data collection instruments, clinical protocols and informed consent documents

14. NIH New Limits on Appendix Materials • Information not allowed in the appendix of an SF424 electronic application. Graphic images of gels, micrographs, photographs etc. These images must be included in the research plan. • Exception: When the image is part of a qualifying publication

15. NIH Transitions from Percent Effort to Person Months • How do you calculate person months? • Multiply the percentage of effort times the number of months of the appointment. • Example: 10% of a 12 month calendar appointment equals 1.2 person months (12 x .10 = 1.2) • Note: CMH PI’s are on a 12 month calendar appointment (do not use academic or summer calendar year) http://grants.nih.gov/grants/policy/person_months_faqs.htm

16. CMH Updates and Reminders • 7 Day deadline for proposal submissions. Necessary for on time submission of the proposal • Allows adequate review of electronic submission forms • Also allows for applications to be resubmitted (due to application form errors) if needed without being considered late

17. CMH Updates and Reminders • Research Funding Opportunities • Searching for funding regarding a specific research interest? • Complete the Request for Extramural Research Funding Search http://www.childrensmrc.org/docs/FundingSearchForm5.pdf

18. CMH Updates and Reminders • CMRC Internal Grant Program • Listing of internal grants available within the Children’s Memorial Research Center • Bridge Grant Award Program (BGA) Guidelines • Proposal Revision Award Program (PRA) Guidelines • Faculty Research Development Award Program (FRDA) Guidelines • Exploratory Grants Program Guidelines http://www.childrensmrc.org/researchadministration/OfficeofSponsoredPrograms/Pre/Funding/

19. Closeout Final Reports Grantees are encouraged to submit closeout documents electronically through the eRA Commons! http://grants2.nih.gov/grants/guide/notice-files/NOT-OD-05-051.html Documents are due within 90 days of project period end date • Final Financial Status Report (FSR) • Final Inventions Statement & Certification • Final Progress Report Failure to submit timely reports may affect future funding to the organization!

20. Compliance Issues:Hot Topics

21. CMH Updates and Reminders • New Formal Policy’s being developed regarding: • Cost Transfers • Timely Closeout • Effort Reporting • Research Subject Expense Reimbursement Policy • Unobligated Balance on Fixed Price Research Agreements • Patient Care Charge Policy

22. Financial conflict of interest Effort reporting Cost transfers Subrecipient monitoring Noncompliance with assurances (animal and human) and special terms and conditions of grant award Misallocation of costs Unallowable costs Federal Grant Compliance Issues

23. Risks of Noncompliance • Withholding of future awards • Audit findings – cost disallowances • “Exceptional” status (rare) • Damage to institution’s reputation • Negative public relations • Penalties and sanctions • Administrative • Civil fines • Criminal sanctions (rare)

24. Non-Competing Continuation Progress Reports REMINDER—Don’t Be Late! The major contributing factors to late awards were late and/or incomplete progress reports. • An annual progress report is due two months prior to anniversary date. • All grantees have access to searchable list of due progress reports at: http://era.nih.gov/userreports/pr_due.cfm • NIH e-mails 2 progress report reminders to the PI • Two months prior to the due date • Two weeks after the due date for overdue report • NIH Guide, August 5, 2003: • http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-03-054.html • Centralized Receipt of ALL NIH Progress Reports – effective 10/1/04 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-04-054.html

25. Closeout Final Reports Grantees are encouraged to submit closeout documents electronically through the eRA Commons! http://grants2.nih.gov/grants/guide/notice-files/NOT-OD-05-051.html Documents are due within 90 days of project period end date • Final Financial Status Report (FSR) • Final Inventions Statement & Certification • Final Progress Report Failure to submit timely reports may affect future funding to the organization!

26. Cost Transfers

27. Cost Transfers – Regulatory Authority • OMB Circular A-21 • http://www.whitehouse.gov/omb/circulars/a021/a21_2004.pdf • OMB Circular A-110 http://www.whitehouse.gov/omb/circulars/index.html • NIH Grants Policy Statement (12/2003)http://grants.nih.gov/grants/policy/nihgps_2001/

28. OMB Circular A-21 and A-110 • Costs must be allocable to a particular grant and may not be shifted to other grants to “meet deficiencies caused by overruns or other fund considerations, to avoid restrictions imposed by law or by terms of the sponsored agreement, or for other reasons of convenience.”(OMB Circular A-21) • Institutions’ financial management systems shall provide written procedures and controls to ensure proper accounting for funds. (OMB Circular A-110)

29. NIH Grant Policy Statement • Corrections of clerical or bookkeeping errors • Completed within 90 days of when the error is discovered • Systems in place to detect errors within reasonable timeframe • Supported by documentation that fully explains how the error occurred and certification of the correctness of the new charge by a responsible organization official of the grantee, consortium participant, or contractor • Transfers of costs from one project to another or from one competitive segment to the next solely to cover cost overruns are not allowable

30. Questions?