Post-Award Administration

1. Post-AwardAdministration Created By: Geeta Chhabra

2. Introduction • Mechanism of Funding • Notice of Grant Award • Cost Sharing • Progress Reports • Foreign Travel • Re-budgeting Request • Carryover Funds • No-Cost Extension • Transfer-In and Transfer-Out • Close-Out

3. NIH Center for Scientific Review eRA Commons Referral Office Study Section Review Grant Number Assigns the Study Section Priority Score Summary Statement AWARD JIT

4. SAMPLE OF APPLICATION IDENTIFICATION NUMBER Serial Number Activity Code Amendment 01 AO 1 CA R01 012345 A1 Grant Support Year Institution Code New Application

5. Application Typeshttp://grants.nih.gov/grants/glossary.htm#A27

6. Activity Codeshttp://grants.nih.gov/grants/funding/ac_search_results.htm

7. Activity Codes (contd.)

8. NIH INSTITUTEShttp://www.nih.gov/icd/ NIH is made up of 27 Institutes and Centers, each with a specific research agenda, often focusing on particular diseases or body systems

9. NIH INSTITUTES (contd.) NIH CENTERS

10. Notice of Grant Award (Review) • Grant Number (Assignment Number) • Principal Investigator • Project Title • Dates – Budget and Project Dates • Federal Direct and F & A Cost • Recommended Future Support • Fiscal Information: • CFDA Number (Catalog of Federal Domestic Assistance) • EIN • Document Number • Fiscal Year • Terms and Conditions • Staff Contact

11. Award Process Following review of all applicable information, the IC will determine whether an award will be made, if special conditions are required, and what level of funding is appropriate. Notice of Grant Award (NGA or NoA) • The NGA is the legal document issued to notify the grantee that an award has been made • Funds may be requested from the designated HHS payment system or office • An NGA is issued for the initial budget period • Funding for subsequent budget periods are generally provided in annual increments following the annual assessment of progress

12. Award Process (contd.) Compliance with Terms and Conditions of Award: • An NGA includes two sections (Sections III & IV) where terms of award are described • Section III of awards lists standard terms such as: • Carryover authority when applicable • Inclusion or exclusion to SNAP as applicable • Treatment of Program Income • Participation in the Federal Demonstration Partnership as applicable

13. Award Process (contd.) Section IV: • Section IV of awards contains Special Terms and Conditions specific to the particular NIH Institute/Center and/or specific to the particular grant • It is important that you pay careful attention to the terms and conditions of an award, particularly any specific to the grant. • In case of violation of these terms and conditions, NIH may place a restriction on the award, or potentially terminate an award

14. Monitoring Basics Monitoring your award requires that: • Actual expenses are periodically compared with budget • Actual expenses are accurate, i.e., reasonable, allocable, allowable and consistently charged • Mischarges are corrected in a timely manner • Prior approvals are obtained when required • Sub-recipient expenses are monitored

15. Prior Approval Requests: All requests that require prior NIH approval must be: • Made in writing (e-mail is acceptable) • Sent to the Grants Management Specialist listed on the NGA • At least 30 days before the proposed change • Must be signed by the Authorized Organizational Representative Note: Approvals must be obtained from the GMS through a revised NGA or letter

16. Samples of Prior Approvals • Change in scope of work • Carryover of unobligated balances • if the NGA indicates that the grantee does not have authority to automatically carry over unobligated balances • Change in status of the PD/PI or senior/key personnel • withdrawal from the project • absence for any continuous period of 3 months or more • reduction of the level of effort devoted to the project by 25% or more from what was approved in the initial application • Change of grantee organization

17. Samples of Prior Approvals (contd.) • Deviation from award terms and conditions • undertaking any activities disapproved or restricted as a condition in the NGA • Purchase of Equipment ($25,000 or greater) not approved in the initial application • Re-budgeting of funds from Trainee costs • The re-budgeting of amounts previously awarded for trainee costs (stipends, tuition, and fees) to other categories • This excludes trainee travel, which is not considered to be a trainee cost, and training-related expenses

18. Cost Sharing • MandatoryCost-Sharing • NIH may require UAB to contribute to the cost of the Project • VoluntaryCost-Sharing • UAB may choose to offer to cost-share a portion of the project • Cost Sharing must be accounted for • Cost Sharing is NOT required for receiving NIH awards

19. Progress Reports Progress reports are required annually as part of the Non-Competing Continuation Award Process • The Non-Competing Continuation Progress Report (PHS 2590) must be submitted to (and approved by) the NIH to fund each additional budget period • Non-SNAP awards require hard copy submission of the PHS 2590 60 days prior to the grant anniversary date • Awards subject to SNAP (Streamlined Non-Competing Award Process) are required to submit a progress report electronically 45 days prior to the grant anniversary date using the RPPR (Research Performance Progress Report) module in the eRA Commons

20. Progress Reports (contd.) RPPR (Research Performance Progress Report) Replaced PHS 2590 (SNAPs) and PHS 416-9 (Fs) Will replace PHS2590 (non-SNAPs) Shows all of your grants at NIH Hyperlinked grant numbers are RPPR eligible Shows the due date, RPPR status, and current reviewer Manage RPPR Select Grant Number to access the RPPR Menu

21. RPPR Structure - Sections • Cover Page • Accomplishments • Products • Participants • Impact • Changes • Special (Agency) Reporting Requirements • Budget • SF 424 ( R&R) Budget • Used for all RPPR types • PHS 398 Training Budget • Used for some Training awards only

23. Foreign Travelhttps://blazerapps.uab.edu/CookieAuth.dll?GetLogon?curl=Z2FuabformsZ2FDisclosuresZ2Fdefault.aspx&reason=0&formdir=3 • Funds may be used for the travel of PD/PI, speakers, participants, and attendees if: • identified in the application and approved at the time of award • If travel is to be charged to a federally sponsored account, additional care should be exercised to comply with Federal, as well as University regulations • All federally sponsored foreign travel must be on a U.S. flagship carrier, unless specific exceptions exist The Fly America Act

24. Rebudgeting http://www.uab.edu/osp/forms • Grantees may re-budget between different categories • Significant re-budgeting requires prior approval from Sponsor • Significant re-budgeting occurs when expense in a single direct cost budget category deviate (increase or decrease) more than 25 percent of the total cost awarded • Equipment exceeding $25,000 per unit • Contracting to a third party • Re-budgeting funds in or out of patient care cost

25. Carryover Funds • Unobligated balances are automatically carried over into the next budget period without prior approval for Awards with Expanded Authority (SNAP) • Prior approval is required for Awards under Unexpanded Authority • Letter addressed to the GMS • Detailed budget • Copy of the FSR

26. No-Cost Extensions • Grantees may extend the final budget period of the project one time up to 12 months via eRA commons without prior approval if: • Additional time is required to ensure adequate completion of the originally approved project • Continuity of the grant support is required while a competing continuation application is under review • The extension is necessary to permit an orderly phase out of the project Note: Having unexpended funds is not an appropriate justification for extending a project

27. No-Cost Extensions (contd.)http://www.uab.edu/osp/forms • Prior approval is required for second and third no- cost extensions • OSP requirements: • OSP expedited checklist • Letter from the PI justifying the extension • Period of extension • Letter co-signed by the department Chairman • Detailed budget Note: NIH requires detailed budgets for second and third extensions

28. Thinking of Moving In order to help make moving easier, please keep the following suggestions and best practices in mind when considering transferring a grant: • Notify the NIH program official and the GMS of the proposed move as soon as possible • Close out the grant at the old institution before moving, if at all possible • Consider the timing of transfer • Work closely with the sponsored programs office at your new institution • Submit the entire transfer package together

29. Transfer-InPA-14-078 Although NIH has not yet made electronic submission of the post-award application mandatory, paper processes remain an option. Please submit the following documents for the paper based PHS 398 application: • Face Page (PHS 398) with “CHANGE OF GRANTEE INSTITUTION” typed in capital letters across the top of the page • Project Performance Site Primary Location PHS 398 Form Page 2 • A progress report for the current year, including a statement regarding the goals for the upcoming year. This is required for anniversary transfers and is strongly encouraged for mid-year transfers • A statement concerning the current research plan and an indication of whether the original plan has changed. If changed, appropriate details should be provided

30. Transfer-In (contd.) • A resources page including a description of the facilities at the new institution and the probable effect of the move of the project • Budget Pages (current and future years) • Updated biographical sketches for the PI and new key personnel • Updated “other support” pages for all key personnel • NIH checklist page, which should include information on the basis for computing F & A costs for the transfer period and future years • Human and Animal Assurances and IRB/IACUC approvaldates • Human Subjects education certification for key personnel, if applicable • A list of equipment, as presented on the old institution’s Relinquishing Statement, to be transferred. Such a listing in the application represents acceptance of title to the transferred equipment

31. Transfer-Out A request for a Transfer-Out application should be submitted to the GMS with the following documents: • Relinquishment Statement (PHS 3734) • The estimate of the unexpended balance on the termination date should be calculated ONLY from the funds awarded in the budget period being relinquished and NOT the total balance from all grant years (including carryover) • List in detail any equipment purchased with grant funds that is being transferred to the new institution • Final Inventions Statement (PHS 568) • The Final Financial Status Report (FFR) is required for grant closeout and is due 90 days following the termination date of the project Note: Both Transfer-In and Transfer-Out requests should be routed through the OSP office along with the UAB Extramural Checklist

32. Start a New Relinquishment Statement

33. Change of Institution search options

34. Create a new Relinquishment Statement

35. Close-outhttp://grants.nih.gov/grants/forms.htm The Closeout process includes: Final Financial Status Report (FFR) Final Progress Report Final Inventions Statement Note: Failure to submit timely close-out documents may affect future funding to the organization

36. A Rule of Thumb Whenever you are contemplating significantpost-award changes and you are uncertain about the need for prior approval, please consult: • Office of Sponsored Programs (UAB) • NIH awarding component Grants Management officer or Specialist

37. Finding Help Web Sites for NIH and OSP eRA Commons Help Desk

38. Resources Links of interest: Electronic Research Administration: http://era.nih.gov/ - Research Performance Progress Report (RPPR):http://grants.nih.gov/grants/rppr/ Applying Electronically:http://grants.nih.gov/grants/ElectronicReceipt/index.htm NIH Grants Web site (Office ofExtramural Research):http://grants.nih.gov/grants/oer.htm NIH General Information: http://grants.nih.gov/grants/policy/nihgps_2010/nihgps_ch1.htm#cost_sharing

39. Resources (contd.) • Office of Sponsored Programs (OSP): http://www.uab.edu/osp/ • UAB Expedited Checklist: http://www.uab.edu/uabra/ogca/ogcapdf/Expedited_Checklist.pdf • Rebudgeting Request: http://www.uab.edu/uabra/ogca/ogcapdf/rbtinter.pdf • Cost Sharing Commitment Form: http://www.uab.edu/uabra/ogca/ogcapdf/csinter.pdf • UAB/VA Joint Appointment Memorandum of Understanding: http://www.uab.edu/uabra/ogca/ogcapdf/vamem_active.pdf • UAB Indirect Cost Revenue Redistribution Agreement: http://www.uab.edu/uabra/ogca/ogcapdf/idcrra.pdf

40. Finding Help eRA Commons Help Desk: Hours: Mon.–Fri., 7 a.m. – 8 p.m. Eastern Web: http://itservicedesk.nih.gov/era Toll-free: 1-866-504-9552 Phone: 301-402-7469 TTY: 301-451-5939 Don’t forget to get a help desk ticket number if your issue isn’t immediately resolved.

41. Thank you !!