A Primer to National Institute of Health NIH Awards

1
A Primer to National Institute of Health (NIH)
Awards
2
NIH Institutes and Centers

• NIH Institutes
• National Cancer Institute (NCI)National Eye
  Institute (NEI)National Heart, Lung, and Blood
  Institute (NHLBI)National Human Genome Research
  Institute (NHGRI)National Institute on Aging
  (NIA)National Institute on Alcohol Abuse and
  Alcoholism (NIAAA)National Institute of Allergy
  and Infectious Diseases (NIAID)National
  Institute of Arthritis and Musculoskeletal and
  Skin Diseases (NIAMS)National Institute of
  Biomedical Imaging and Bioengineering
  (NIBIB)Eunice Kennedy Shriver National Institute
  of Child Health and Human Development
  (NICHD)National Institute on Deafness and Other
  Communication Disorders (NIDCD)National
  Institute of Dental and Craniofacial Research
  (NIDCR)National Institute of Diabetes and
  Digestive and Kidney Diseases (NIDDK)National
  Institute on Drug Abuse (NIDA)National Institute
  of Environmental Health Sciences (NIEHS)National
  Institute of General Medical Sciences
  (NIGMS)National Institute of Mental Health
  (NIMH)National Institute of Neurological
  Disorders and Stroke (NINDS)National Library of
  Medicine (NLM)
• NIH Centers
• Center for Scientific Review (CSR)Center for
  Information Technology (CIT)John E. Fogarty
  International Center (FIC)National Center for
  Complementary and Alternative Medicine
  (NCCAM)National Center on Minority Health and
  Health Disparities (NCMHD)National Center for
  Research Resources (NCRR)NIH Clinical Center
  (CC)

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Types of Applications

• New Application (Type 1)
• A request for financial assistance for a project
  or activity that is not currently receiving NIH
  support and must compete for support.
• Competing Continuation (Type 2)
• A request for funding to renew by one or more
  additional budget periods, a project period that
  would otherwise expire
• Competing Supplemental Application (Type 3)
• A request for an increase in support in a
  current budget period for expansion of the
  projects approved scope or research protocol.
  The request may specify budgetary changes
  required for the remainder of the project period
  as well as for the current budget period.

4
NIH Activity Codes

• NIH uses activity codes (e.g. R01, R43, etc.) to
  differentiate the wide variety of
  research-related programs they support.
• The following groupings represent the main types
  of grant funding they provide
• Research Grants (R series)
• Career Development Awards (K series)
• Research Training and Fellowships (T F series)
• Program Project/Center Grants (P series)
• American Recovery and Reinvestment Act (RC
  series)
• Cooperative Agreements (U series)
• For a comprehensive listing of all activity
  codes, refer to
• http//grants.nih.gov/grants/funding/ac_search_re
  sults.htm?sortactext_currSearch_TypeActivity

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Activity Code Research Project Grant Program
(R01)

• Definition An award made to support a discrete,
  specified, circumscribed project to be performed
  by the named investigator(s) in an area
  representing the investigator's specific interest
  and competencies, based on the mission of the
  NIH.
• The original and historically oldest grant
  mechanism used by NIH
• Most common award received at Rutgers
• Can be investigator-initiated or can be in
  response to a program announcement or request for
  application.
• Research plan proposed by the applicant must be
  related to the stated program interests of one or
  more of the NIH Institutes and Centers based on
  descriptions of their programs.
• Most often investigator initiated in response to
  either the R01 Parent Announcement or a Program
  Announcement highlighting particular scientific
  areas.  Requests for Applications (RFAs) may also
  utilize the R01 mechanism. 

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Notice of Grant Award (NGA)

• Legal document issued to notify the grantee that
  an award has been made and that funds may be
  requested.
• Issued for the initial budget period and each
  subsequent budget period in the approved project
  period
• Issue date is not always the same as the start
  date of budget period.
• Important distinction with fixed FA for life
• NIH Issued Award Date  (Lists recently awarded
  NIH awards to Rutgers) http//era.nih.gov/commons/
  quick_queries/NIH_issued-NGAs.cfm
• NGA reflects any future-year funding commitments
• A revised NGA may be issued during a budget
  period to effect an action resulting in a change
  in the period, amount of support or other change
  in the terms and conditions
• NIH will not issue a revised NGA to reflect a
  grantees post-award rebudgeting under expanded
  authorities
• Acceptance of an NIH award and its associated
  terms is indicated by requesting funds.
  Consequently, if you cannot accept the award,
  notify ORSP and NIH GMO immediately.
• Important Do not charge any expenses to the
  account! Once accepted, contents of the NGA are
  binding unless modified by a revised NGA.

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NGA Continued

• Initial NGA provides funds for the project
  during the first budget period. Budget periods
  are usually 12 months long, however shorter or
  longer budget periods may be established for
  compelling programmatic or administrative
  reasons.
• Amounts shown for subsequent years represent
  projections of future funding levels and are
  contingent upon 1) satisfactory progress, 2) the
  availability of funds and 3) the continued best
  interests of the government. They are not
  guarantees that the project will be funded or
  funded at those levels.

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NGA Grant Number - Naming Convention

• 1 R01 GM 012345 01 A1/S1
• Definition
• Application Type - 1
• Activity Code R01
• NIH Institute - GM
• Serial/Grant Number - 012345
• Suffixes- Grant Year - 01
• Supplement S1
• Amendment A1
• This naming convention is used for all NIH-direct
  account titles.

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Expanded Authorities

• Expanded Authorities NIHs delegation to
  Rutgers of certain cost-related and other
  prior-approval requirements for many activities
  and expenditures.
• You must review the NGA to determine whether or
  not the award is subject to expanded authorities
  and to what extent.
• Expanded Authorities is a privilege Could be
  revoked by NIH
• Expanded authorities have specific deadlines for
  submission of reports or for timely notification
  to the NIH awarding office. Failure to adhere to
  those deadlines will be grounds for excluding
  Rutgers from expanded authorities
• Summary of Expanded Authorities
• Carryover of unobligated balances from one
  budget period to the next
• Not Applicable for certain awards that are
  excluded from the expanded authority to
  automatically carry over unobligated balances.
  This includes centers (P) cooperative agreements
  (U) and research training grants (T) or if the
  NGA indicates otherwise.
• Cost-related prior approvals, including research
  patient care costs and equipment
• Not Applicable if the scope would change
• Extension of final budget period of a project
  period without additional NIH funds
• Not Applicable if the grantee already has given
  itself one extension of up to 12 months.
• Summary of Expanded Authorities
  http//grants.nih.gov/grants/policy/nihgps_2003/NI
  HGPS_Part7.htm

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Streamlined Non-Competing Award Process (SNAP)

• The NGA will specify whether an award is subject
  to SNAP.
• Awards routinely included in SNAP are R
  awards, with the exception of R35 and K awards.
• Awards excluded from SNAP are those that do not
  have the expanded authority to automatically
  carry over unobligated balances
• For awards under SNAP, grantees are required to
  submit only limited portions of the Annual Grant
  Progress Report.
• If there is a change in performance site or
  anticipated program income, grantees also must
  submit the PHS 2590 checklist. If program income
  is anticipated, the progress report should
  reflect the estimated amount and source of the
  income.
• As part of the progress report, grantees must
  also answer the following questions
•       1. Has there been a change in the other
  support of key personnel since the last
  reporting period?
• 2. In the next budget period, will there
  be a significant change in the level of effort
  for key personnel from what was approved for
  this project? A significant change is a 25
• percent or greater reduction in time devoted to
  the project.
• 3. Does the grantee anticipate that it
  will have an estimated unobligated balance
  (including prior-year carryover) that will be
  greater than 25 percent of the current years
  total budget? If so, the grantee will be
  required to explain why there is a significant
  balance and how it will be spent if carried
  forward into the next budget period. If not, the
  grantee should so state.

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NIH Grants Policy Statement (NIHGPS)

• NIH Grants Policy Statement (12/03) - Effective
  for all NIH grants and cooperative agreements
  with budget periods beginning on or after
  December 1, 2003
• Serves as the terms and conditions of NIH grant
  awards.
• The NIHGPS is available at http//grants.nih.gov/
  grants/policy/policy.htmgps.
• The NIHGPS has three parts
• Part I NIH GrantsGeneral Information. Contains
  a glossary defining commonly used terms and
  abbreviations used throughout the document
  describes NIH and its relationship to other
  organizations within the Department of Health and
  Human Services (HHS) specifies grantee, NIH, and
  other HHS staff responsibilities outlines the
  grant application and review processes and
  explains the various resources available to those
  interested in the NIH grants process.
• Part II Terms and Conditions of NIH Grant
  Awards. Contains generally applicable terms and
  conditions. This part also specifies the terms
  and conditions that apply to particular types of
  grants, grantees, and activities that differ
  from, supplement, or elaborate on the standard
  terms and conditions. These requirements, in
  separate sections, pertain to construction
  grants, research training grants and fellowships,
  modular applications and awards, conference
  grants, and consortium agreements.
• Part III Points of Contact. Part III lists
  pertinent offices and officials with their
  addresses and telephone numbers.

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Post-Award Administration

• Expenses charged must be in accordance with
• OMB Circulars
• Cost Accounting Standards
• NIHGPS
• NGA Terms and Conditions
• NIH Salary Rate Limitations
• University Policy and Procedures
• All expenses must be appropriately documented

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Monitoring Basics

• Monitoring entails
• That actual expenses are periodically compared
  with budget (at least monthly)
• Investigate/Resolve any funds on the award not
  projected or currently exceeded
• Ensure total funds are used appropriately
• Ensure total funds for any cost category have
  not been exceeded if restricted by NGA
• Ensure actual expenses are well-documented and
  accurate i.e. reasonable, allocable, allowable
  and consistently charged
• Mischarges are corrected (Cost Transfers) within
  90 days from time transaction was posted to GL,
  are well-documented and in accordance with
  University procedures.
• Obtain prior approvals when required
• Ensure subrecipient expenses are monitored in
  accordance with their approved budget/budget
  period
• - Ensure RU PI certifies all subaward invoices
• - Ensure RU PI and subaward PI certifies final
  subaward invoice before releasing payment
• Monitor spending rates closely!

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Change in PI or Key Personnel Specifically Named
in NGA

• Must notify NIH if the PI or other key personnel
  named in the NGA will
• -withdraw from the project entirely
• - be absent 3 months or more
• -reduce time devoted to the project by 25 or
  more

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Pre-Award Costs

• Pre-award costs can not exceed 90 days prior to
  the effective date of the initial budget period
  of a project period for a new or competing
  continuation award
• A completed IPAS must be on file in DGCA prior
  to incurring any pre-award costs
• Important IPAS are required to be filed
  annually with DGCA for any multi-year
  continuation awards where the next years funding
  has not been received yet, when you plan on
  continued spending
• http//postaward.rutgers.edu/ipas_2009.doc

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Rebudgeting

• Significant rebudgeting may not occur without
  contacting NIH prior to incurring the expense.
• Significant rebudgeting is defined as when
  expenditures in a single direct cost budget
  category deviate ( or - ) more than 25 of the
  total costs awarded or the scope of work changes.

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NIH Salary Caps

• Employee Salary Cap
• Restricts the amount of direct salary under an
  award to Executive Level I of the Federal
  Executive Pay Scale
• Executive Level 1 updated annually effective
  January
• Current maximum - 196,700
• http//grants.nih.gov/grants/policy/salcap_summar
  y.htm
• NIH Graduate Student Compensation Cap
• Total compensation of GA can not exceed NIH
  post-doc Yrs of Experience of 0 stipend level
  Currently 37,368
• Total compensation Salaries/Wages, Fringe
  Benefits, and Tuition Remission/Fees
• NIH will not award in excess
• However, NIH does allow re-budgeting as long as
  it does not exceed RU post-doc total compensation
• New RU Procedure
• http//grants.nih.gov/grants/guide/notice-files/N
  OT-OD-02-017.html
• http//grants.nih.gov/grants/guide/notice-files/N
  OT-OD-09-075.html

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Interim Reporting

• Annual Technical Reports
• Due 60 days before grant budget period
  anniversary date
• Financial Status Reports
• Non-Snap Annually within 90 days following the
  end of each budget period.
• SNAP At closeout, within 90 days following the
  end of the project period
• Quarterly Cash Transaction Report (Federal
  Financial Report)
• All Awards Quarterly within 45 days following
  the end of the calendar quarter
• Quarterly ARRA Report
• All ARRA-funded awards Quarterly within 10
  calendar days following the end of the calendar
  quarter
• Late Reporting of any of the above may delay
  next years award/funding or jeopardize future
  funding for both the PI and/or University level

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Closeouts Final Reports

• All the below are due within 90 days following
  the project end date
• Final Financial Status Report
• Final Progress Report
• Final Invention Report
• For any subrecipient Final invoice, progress
  report, invention report and other related
  closeout documents
• Final Quarterly ARRA Report
• Due the following calendar quarter in which the
  project period ended within 10 calendar days
  following the end of the calendar quarter. (i.e.
  If award ended 06/30/10, must file final report
  in July 10, 2010 ARRA Report)
• Upcoming NIH Progress Report Due Dates
  http//era.nih.gov/userreports/ipf_com.cfm

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NIH ARRA Awards

• Separate Accounting
• ARRA expenditures must be segregated from
  non-ARRA funds, new accounts will be established
  to capture all costs which benefit the
  ARRA-supported activities.    
• Keep ARRA expenditures closely aligned with
  agency-approved budgets and work plans
• Read your award document carefully since special
  individual award terms may apply. 
• Expend according to your award budget.
  Agency-permitted rebudgeting may still occur, but
  each deviation from the agency-approved budget
  should be clearly explained and supported.  We
  recommend documenting in your project files at
  the time of the change describing why the
  alteration was needed.
• Spend all ARRA funds timely
• Initiate work and associated expenditures
  promptly after award. Pursue progress on all ARRA
  awards as vigorously as possible consistent with
  proper stewardship and good scientific practices.
  
• Important Agencies will be closely monitoring
  burn rates and may withdraw funding if they
  determine progress is unsatisfactory.
              
• Monitor expenditures carefully as carryover is
  not permitted from an ARRA-funded budget period
  to a non-ARRA funded budget period, or the
  reverse.
• Report unanticipated delays (e.g., progress is
  significantly impacted by a month or more) on
  ARRA awards promptly to DGCA, who will determine
  if agency concurrence must be obtained.
• Promptly fulfill all special and routine
  reporting obligations (including regular
  technical reporting)
• Quarterly RU ARRA Web Portal
• Ensure the accurate reporting of Jobs
  Created/Retained in accordance with RU Guidance
  on Reporting Jobs

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ARRA Carryover

• -04 Yr funds CANNOT be carried forward into -05
  -04 year financially closed
• -05 Yr funds CAN be carried forward into -06
• -06 Yr funds CANNOT be carried forward into -07
• -04 Yr funds CANNOT be carried forward into -07

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In Closing

• Always read the NGA
• Monitor spending rate for all awards
• NIH expects the rate and type of expenditures
  to be consistent with the approved project and
  budget and will question inconsistencies when
  reviewing quarterly FFR.
• File all technical and financial reports on time
• Ensure all expenses are in accordance with
  governing policies and procedures
• Ensure Salary Caps are not exceeded
• Be diligent in filing the IPAS for preaward
  spending on continuation awards
• If you have any questions or in doubt, contact
  your DGCA Accountant