Sponsor

Document File: 

Topics: 

Definition:  generally a subcontract or subrecipient, as compared to a consultant or fee for service vendor, is defined as an entity, often another university, who helps the grantee carry out the activities of the award by performing a portion of the research using their own institution’s facilities.

Submit to OPAS with your proposal:

1)  A letter of intent signed by the subcontractor’s business official (OPAS equivalent) supporting the work referenced in an attached statement of work and budget.  The letter must include the following language as well:

“The appropriate programmatic and administrative personnel at the University are aware of the PHS consortium grant policy and are prepared to establish the necessary inter-institutional agreements consistent with that policy."

2)  Statement of work

  • Subcontractor’s specific aims - typically no longer than a page
  • Detailed enough to legally define the subcontractor’s role and responsibilities in the research
  • Does not include UMass effort

3)  Subcontractor budget

  • Use NIH budget forms or an Excel spreadsheet if modular;
  • Use the Adobe subcontract budget extract if not modular - available from the R&R Subaward Budget Attachment(s) Form in the Adobe application package.

4)  Subcontractor budget justification; and in addition, if modular, a Consortium Justification following NIH format.

5)  Additional forms:  PHS 398 Face Page and Checklist (optional, but useful). If not using the Face Page, provide same data must be provided in another format, especially addressing regulatory items like Animal use and Human subjects.

6)  Indirect Cost Rate Agreement (if charging indirects) – subcontractors must have a federally approved indirect cost rate agreement in order to budget indirect costs.

Items 1-6 should be assembled by the subcontractor and approved by their Sponsored Research Office.

The subcontract materials should be forwarded to the UMass PI for review, and, if in keeping with PI expectations, PI should forward contents to OPAS along with the completed proposal.

The subcontractor should also provide the UM PI with the following for incorporation into the UM proposal:

7. Biosketches of key personnel (no headers or footers

8. Resources page (see SF 424 application guide for format)

9. Letter of support from subcontractor’s PI (optional)

Please submit the above to OPAS in advance of the deadline, preferably with your completed proposal 5-7 days before the deadline.

Subcontracts - other important considerations

  • Consortium/contractual indirect costs exempt from direct cost limits

NIH typically excludes subcontractor indirect costs from the direct cost limitations.  Given that the R01 modular direct cost limit is $250K for example, if the UMass budget includes $285,000 for direct costs each year which includes subcontractor total costs, and subcontractor indirect costs amounts to $15,000 per year, the budget still qualifies for the modular ($285,000 less $15,000 = $250,000).  For details, see NOT-OD-05-004.

  • Subcontract vs. standard procurement:

If the individual or company in question provides a service for which an established (published) flat fee is routinely charged for the work to be done and they are not involved in the research effort per se but simply provide a fee for service, this transaction is classified as a standard procurement rather than a subcontract. As such, no statement of work, budget, or letter of intent is needed. Standard procurements are budgeted as "Other".  Provide OPAS with a copy of the published rate sheet for these services.

  • Subcontract vs. consultant:

This is hotly contested terrain and closely analyzed for compliance.  A consultant is not directly responsible for the completion of the project’s “aims”.  They do not conduct research but rather act in an advisory role lending their expertise.  For more information, see “Proposal Preparation Guide: Consultant”.  If in doubt, contact the OPAS pre-award administrator responsible for NIH.

  • The subcontract and indirect costs:

Indirect costs (F&A) are assessed on the first $25,000 of each and every subcontract. For example, if your subcontractor is budgeted at $30,000 over two years with $15,000 budgeted each year, then indirect costs are assessed on the total amount in year 1 and only on $10,000 in year 2.  Thus $5,000 is exempt from indirect costs in year 2.

  • Sole Source:

Any federal procurement over $1,000 must be put out to bid. If it’s a subcontract and bids were not solicited, sole source justification is required and must be kept on file at OPAM for auditing purposes.

A sole source justification will explain why the chosen subcontractor is uniquely qualified entity to perform the work in question, and how its selection will benefit the government. This should be provided at award stage.

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USDA

GENERAL TERMS & CONDITIONS

http://www.nsf.gov/pubs/policydocs/rtc/agencyspecifics/nifa_1113.pdf

  • REPORTING: 
     
    •  Annual progress reports must be completed at REEport 90 calendar days after the award’s anniversary date for all funding years including the last year of funding.
       
    • Final reports must be submitted within 90 calendar days after the award’s termination date.

      Questions regarding reporting requirements should be directed to:  REEport@nifa.usda.gov
       

Access to REEport: http://portal.nifa.usda.gov
 

  • NO-COST EXTENSION:
     
  •  First – UMass can approve one no cost extension (of up to 12 months) under expanded authority.  Requests can be sent via email to opam@umass.edu at least 20 days prior to the then current grant end date and must provide a specific new end date and a justification for the extension.
  • Subsequent – no cost extensions require approval from USDA and should be submitted to OPAM at opam@umass.edu at least 45 days prior to the then current grant end date.   The letter of request should be signed by the PI and include the following:    
  • A specific revised end date.
  • A summary of progress to date (a most recent “Research Work Unit/Project Description Progress Report,” Form AD-421 will suffice) and a justification as to why additional time is needed.
  • An estimate of funds expected to remain unobligated on the current termination date.
  • A projected timetable to complete the portion(s) of the project for which the extension is being requested.
     


 

 

  • BUDGET REVISIONS: 
     
    • Requiring USDA approval:  The PI should prepare a letter of request with supporting documentation and submit to OPAM at opam@umass.edu who will review and forward to USDA as appropriate.  If questions, please contact your award administrator for further guidance.
  • Changes resulting from a significant change in the level of effort for the PI or any Co-PI’s
  • Change that results from a change in the scope of the project
  • Addition of a subcontract
  • Any change between budget line items exceeding 10% of total budget.
     
  • Other Budget Revisions
     Normally do not require USDA approval but may require a justification for the record.  Contact your grant accountant for guidance.   
     
  • CARRY FORWARD

    Any unobligated balance of funds which remains at the end of any funding period, except the final funding period of the project, shall be carried over to the next funding period.

 

  • PRIOR APPROVAL ACTIONS/REQUESTS:


 The following require the prior approval of USDA.The PI should prepare a letter of request with supporting documentation and submit to OPAM at opam@umass.edu who will review and forward to USDA as appropriate.  If questions, please contact your award administrator for further guidance. 

  • PI Transfer
  • Change PI or Add/Change Co-PI or withdrawal of PI/Co-PI
  • Significant change in level of effort for PI or Co-PI (25% or greater reduction in time devoted to the project.)
  • Addition of a subcontract
  • Change in objectives or scope
  • USDA approved no-cost extensions (2nd extension or late request for 1st extension)
  • Long term absence of PI or Co-PI.  This approval must be sought from USDA in all cases of the PI/Co-PI being away on sabbatical, maternity/paternity leave, medical leave, etc., even if the PI/Co-PI intends to keep in communication with the project.  Part of that approval is how the project will run while the PI/Co-PI is away.
  • Pre-award costs in excess of 90 days
  • Rearrangement or Alterations of $25,000 or more.
     
  • GRANTEE NOTIFICATION TYPES: The PI should prepare a letter of request with supporting documentation and submit to OPAM at opam@umass.edu who will review and forward to USDA as appropriate.  If questions, please contact your award administrator for further guidance.

 

  • Granted approved No Cost Extension (1st extension)
  • Short term absence (up to 3 months)
  • Significant Changes/Delays or Events of Unusual Interests
  • Significant changes in Methods/Procedures
  • Conflicts of Interest

FAQ’s:  http://www.nifa.usda.gov/home/faq_grant_management.html

  • TUITION CHARGES:  Be aware that some USDA awards do not allow student associated fees (tuition charges, etc.) and the restrictions will be noted in the award document.

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STScI

GENERAL TERMS & CONDITIONS

http://www.stsci.edu/institute/grants

  • REPORTING:

The following reports are required of all STScI grantees and must be submitted electronically via the STScI Grants Management System (STGMS) https://stgms.stsci.edu/stgms/.

  • Financial:  Due Monthly (by the end of each month)
  • Performance:  Annually (30 days after the anniversary date of the grant (except final year)
  • FINAL REPORTS:

Final Reports must be submitted no later than 90 days after the expiration date of the grant.

  • Final Financial Report
  • Final Performance Report
  • Final Equipment Report (include the manufacturer’s name, model number, and actual purchase price for all equipment)
  • Final New Technology Report
  • NO-COST EXTENSION:

To request a no-cost extension, submit the request and an Annual Performance Report through the STGMS no later than 30 days prior to the expiration date of the grant.

  • GENERAL GRANT PROVISION #XXII:

This provision requires the following acknowledgement of support in all publications based on HST research funded through all grants:

“Support for Program number ________ was provided by NASA through a grant from the Space Telescope Science Institute, which is operated by the Association of Universities for Research in Astronomy, Incorporated, under NASA contract NAS#-#####.”

  • BUDGET REVISIONS:

All STScI grants are awarded on the basis of a Proposal containing a detailed financial plan (budget) for the expenditure of awarded funds. Grantees must obtain prior written approval from the STScI Grants Administration Office whenever the budget revisions:

  • will result in changes to the scope or the objectives of the project;
  • will result in items being added to the budget which require prior approval from STScI such as equipment purchases exceeding $5,000, etc. that were not specifically authorized in the Grant Award or Amendment Documents;
  • will result in transferring to a third party (by subgranting, contracting, or other means) substantive project activities;
  • will involve the transfer of funds between direct cost categories, or the transfer of funds between direct and indirect cost categories when the cumulative amount of such transfers is expected to exceed $25,000 or twenty-five percent of the total project budget as last approved by STScI, whichever is less.
  • All other budget changes do not require STScI approval. When requesting approval for budget revisions, grantees are asked to use the proposal budget format (Form GF-99-1, pages 1 through 3), in the GMS.

Please contact your Award Administrator for further instructions.

FAQ’s:  http://www.stsci.edu/institute/grants

 

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NSF

GENERAL TERMS & CONDITIONS

https://www.nsf.gov/bfa/dias/policy/gc1/march18.pdf

Uniform Guidance:

http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl

  • REPORTING 

Instructions for Reporting: http://www.research.gov/common/attachment/Desktop/ProjectReportGettingStartedGuide_general.pdf

  • Annual progress reports must be completed via research.gov 90 calendar days prior to the end of the current budget period.  An annual report is required for all funding years including the last year. PLEASE NOTE:  It is imperative that all reports provided to NSF are complete and accurate.  PI’s must be sure to disclose all project participants in project reports.

  • Final- within 90 days following the termination of the grant

    • Progress Report
    • Project Outcomes Report

Access to: Research.gov:    http://www.research.gov/
 

  • NO-COST EXTENSIONS
     

    •  First – UMass can approve one no cost extension (of up to 12 months) under expanded authority.  Requests for extensions must be submitted via Research.gov at least 15 days prior to the then current grant end date. 
       
    • Subsequent – no cost extensions require approval from NSF and should be submitted via Research.gov at least 45 days prior to the then current grant end date.

 

  • BUDGET REVISIONS
     

  • Requiring NSF approval:   All requests shall be submitted via Fastlane.
    • Change resulting from a significant change in the level of effort for PI or any Co-PI’s
    • Change that results from a change in the scope of the project
    • Reallocation of funds from the Participant Support Costs budget line item
    • Addition of a subcontract
       
  •  Other Budget Revisions:
    • Normally do not require NSF approval, but may require a justification for the record.   Contact your grant accountant for guidance
      .   
       
  • CARRY FORWARD
    Any unobligated balance of funds which remains at the end of any funding period, except the final funding period of the project, shall be carried over to the next funding period

 

  • SALARY LIMITATION
    NSF allows up to 2 months total of funded effort within any 12 month period across all active NSF awards for any given PI or Co-PI.  Be sure to monitor your effort on all your active NSF grants to make sure you are not over committed.  If you have any concerns, please contact your award administrator to discuss what actions may need to be taken to properly adjust your overall effort. 
     

  • PRIOR APPROVAL ACTIONS/REQUESTS

    The following require the prior approval of NSF.  The PI prepares the request in Fastlane or Research.gov, OPAS approves and submits to NSF.   

  • PI Transfer
  • Change PI or Add/Change Co-PI – or withdrawal of PI/Co-PI
  • Addition of a Subcontract
  • Significant change in level of effort for PI or Co-PI - via Research.gov
  • Change in Objectives or Scope - via Research.gov
  • NSF approved No-Cost Extension (2nd extension or late request for 1st extension)
  • Long term absence (over 3 months) of PI or Co-PI.   This approval must be sought from NSF in all cases of the PI/Co-PI being away on sabbatical, maternity/paternity leave, medical leaves, etc. even if the PI/Co-PI intends to keep in communication with the project.   Part of that approval is how the project will run while the PI/Co-PI is away.
  • Reallocation of funds from the Participant Support Costs line item.
  • Preaward costs in excess of 90 days
  • Rearrangement or Alterations $25,000 or over
     
  • GRANTEE NOTIFICATION TYPES  - PI prepares notification in Research.gov or Fastlane, and OPAS approves and submits to NSF
     

    • Via Research.gov
  • Grantee approved No Cost Extension (1st extension)
  • Short term absence (up to 3 months)
  • Significant Changes/Delays or Events of Unusual Interests
  • Significant changes in Methods/Procedures
  • Conflicts of Interest
  • Via Fastlane
    • Cost Sharing equal to or greater than $500,000 (normally large NSF Coop. Agreements)

 

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NIH

General Terms and Conditions

http://grants.nih.gov/grants/policy/nihgps_2013/nihgps_ch8.htm#_Toc271264923

Compliance

Financial Conflict of Interest FCOI: Annual FCOI Compliance clearance is required during the performance period of NIH awards.  If we do not have current clearance it will delay processing of the award documents.  To update please email rescomp@research.umass.edu.

 NIH Salary Cap: The funds in this award shall not be used to pay the salary of an individual at a rate in excess of Executive Level II. See NIH Guide Notice:  NOT-OD-12-035 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-12-035.html.

Collaborative Research Grant Agreements: NIH Multi PI Policy NOT-OD-06-054 applies to collaborative research grant agreements.  PI certification and assurance document(s) must be maintained for key person named in the NoA.  Prior notice is required if this key person will no longer be assigned to this roll.

NIH Continued Resolution Impact on Subaward Agreements: NIH budget reduction on award requires the following information and documents be submitted to your grant administrator before issuing subaward(s):

  • PI specified funding level for subcontract(s)
  • Scope of Work
  • Budget
  • PHS checklist (Indirect cost document)

Current/active DHHS Negotiated F&A Rate document from the subcontractor for the period of performance

Graduate Student Compensation Compliance: NIH has a maximum allowable cost for graduate students (see NOT-OD-02-017) see link  http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-017.html

Multi PI Award MOU Leadership Plan: The first PI listed in the grant is the contact PI and responsible for communication between NIH and the rest of the leadership team.  NOTE: being named contact PI does not imply any particular roll with in the leadership team.

The principal Investigators are equally responsible for the leading and directing the project.  All Principal Investigators are responsible for accepting the terms and conditions of the grant or contract. A signed MOU must be submitted to OPAM before the award can be processed and sent to the Controller’s office to set up the accounts.  The Leadership Plan proposed to NIH is in effect and governs PI responsibility contained in the signed MOU document and remains in effect throughout the entire project unless superseded by a revised MOU.

Reporting

PubMed Central: In accordance with P.L. 110-161 compliance with NIH Public Access Policy is now Mandatory (NOT-OD-08-033) for more information, (see NOT-OD-08-033 and the Public Access website:http://publicaccess. nih.gov/).  PubMed Central (PMC) is the NIH digital archive of full-text, peer-reviewed journal articles.  Its content is publicly accessible and integrated with other databases (see: http:// http://www.pubmedcentral.nih.gov/).

Grant renewals with annual Progress Reports are submitted thru OPAM along with an IPF form; 45 days prior to the end of the current budget period.

Awards in the Final Year of the Competitive Cycle - award which represents the final year of the competitive segment for the grant.  Unless a NCE is requested & approved NIH closeout procedures will be required.

Close out procedures; reports are due 90 days after the grant end date.

  • PI submits Final Progress Report Via Commons
  • PI submits Final Invention report Vis Commons (OPAM will authorize via Commons after submitted)
  • Controller’s office submits SF425 financial report via Commons

Access to Commons: http://era.nih.gov/

No Cost Extensions (NCE)

First – UMass can approve the first NCE (of up to 12 Months) under expanded authority.  Requests for extensions must be submitted to OPAM at  opam@umass.edu ) at least 15 days prior to the current grant end date.  Please include the specific revised end date, a justification for the extension and reference the current GAID number in the subject line of your request.

Second and subsequent - no cost extensions require approval from NIH and should be submitted at least 45 days prior to the current grant end date to OPAM at opam@umass.edu and include.  A letter of request, addressed to your program officer, should be signed by the PI and include the following:

  • Include the Sponsor Award # and UMASS GAID # on the letter
  • A specific revised end date
  • A summary of progress to date and a justification as to why additional time is needed
  • An estimate of funds expected to remain unobligated on the current termination date
  • A projected timetable to complete the portions of the project for which the extension is being requested.  
     

Budget Revisions

Requiring NIH approval: The PI should prepare a letter of request with supporting documentation and submit to OPAM at opam@umass.edu who will review and forward to NIH as appropriate.  If questions, please contact your award administrator for further guidance.

  • Rebudgeting of amounts previously awarded for trainee costs (stipends, tuition, and fees) to other categories of expense
  • Funds budgeted under an NIH Career Development K Award grant for an individual's salary and fringe benefits, may not be used for any other purpose without NIH prior approval.
  • Changes resulting from change in the scope of the project
  • Addition of a subcontract
  • Changes resulting from a significant change in the level of effort for the PI/Co-PI’s

Other budget revisions: Normally do not require NIH approval but may require a justification for the record.  Contact your grant accountant for further guidance.

Carry Forward

Each award will include a term and condition to indicate the disposition of unobligated balances and will state whether or not funds can be automatically carried forward from one year of funding into the next.

Prior Approval Actions/Requests

The following require the prior approval of NIH.  The PI should prepare a letter of request with supporting documentation and submit to OPAM at opam@umass.edu who will review and forward to NIH as appropriate.  If you have questions, please contact your award administrator for further guidance.

  • PI Transfer
  • Change in status of PI/Co-PI or key personnel:
    • Withdrawal
    • Reduction in level of effort of 25% or more from what was approved in the award
    • Absence from the project for any continuous period of 3 months or more.  This approval must be sought in all cases including sabbatical, maternity/paternity leave, medical leave, etc., even if the PI/Co-PI, Key Personnel intends to keep in communication with the project.  Part of that approval is how the project will run while the personnel are away.
  • Addition of subcontract
  • NIH approved no cost extension (2nd extension or late request for 1st extension)
  • Change in objectives or scope
  • Pre-award costs in excess of 90 days
  • Rebudgeting from Trainee costs
  • Change of IRB protocols or Vertebrate animals from approved proposal

Grantee Notification Types

PI prepares notification /request document, submits to OPAM at opam@umass.edu  and OPAM notifies NIH as appropriate.

  • 1st no cost extension under expanded authority
  • Significant rebudgeting of award funds
  • Short term absence of PI (up to 3 months)


 

Topics: 

NASA

GENERAL TERMS & CONDITIONS:

https://prod.nais.nasa.gov/pub/pub_library/srba/index.html  

Agency Specific Terms and Conditions:

http://www.nsf.gov/pubs/policydocs/rtc/nasa_708.pdf

QUICK LINK for post award actions, FAQ’s, information..:  https://www.nssc.nasa.gov/grants

  • REPORTING
  • Annual progress reports must be submitted to NASA via email on the anniversary of the effective start date of the grant.  Follow the quick link above for submission information.
     
  • Final reports must be submitted to NASA via email within 90 days following the expiration of the grant.  Follow the quick link above for submission information.

 

  • NO-COST EXTENSIONS
  • First - UMass can approve one no cost extension (of up to 12 months) under expanded authority.  Requests can be sent via email to opam@umass.edu at least 30 days prior to the then current grant end date and must provide a specific revised end date and a justification for the extension.
  • Subsequent – no cost extensions require approval from NASA and should be submitted to opam@umass.edu at least 45 days prior to the then current grant end date and must include all information required by NASA per the information contained via the quick link above.  OPAM will submit the request to NASA via the online portal.
  • BUDGET REVISIONS
  • Requiring NASA approval:   The PI should prepare a letter of request with supporting documentation and submit to OPAM who will review and forward to NASA as appropriate.  If questions, please contact your award administrator for further guidance. 
     
  • A significant change in the level of effort for the PI or any Co-Pi’s
  • A change in scope of the project
  • Addition of a subcontract
  • Reallocation of funds from the Participant Support or Trainee budget lines
     
  • Other Budget Revisions
     
  • Normally do not require NASA approval, but may require a justification for the record.  Contact your grant accountant for guidance.
  • CARRY FORWARD
  • Any unobligated balance of funds which remains at the end of any funding period, except the final funding period of the project, shall be carried over to the next funding period.
  • PRIOR APPROVAL ACTIONS/REQUESTS

    The following require the prior approval of NASA.  The PI should prepare a letter of request with supporting documentation and submit to OPAM at opam@umass.edu who will review and forward to NASA as appropriate.  If questions, please contact your award administrator for further guidance.
  • PI Transfer
  • Change PI or Add/Change Co-PI – or withdrawal of PI/Co-PI
  • Significant change in level of effort of PI or Co-PI (25% or greater reduction in time devoted to the project)
  • Addition of subcontract
  • Change in Objectives or Scope
  • Sponsor approved No-Cost Extension (2nd extension or late request for 1st extension)
  • Long term absence (over 3 months) – This approval must be sought from NASA in all cases of the PI/Co-PI being away on sabbatical, maternity/paternity leave, medical leave, etc., even if the PI/Co-PI intends to keep in communication with the project.  Part of that approval is how the project will run while the PI/Co-PI is away.
  • Reallocation of funds from the Participant Support or Trainee budget lines
  • Preaward costs in excess of 90 days
  • GRANTEE NOTIFICATIONS TYPES The PI should prepare a letter of notification and submit to OPAM at opam@umass.edu who will review and notify NASA accordingly.  If questions, please contact your award administrator for further guidance.
     
  • Grantee approved No Cost Extension (1st extension)
  • Short term absence (up to 3 months)
  • Significant Changes/Delays or Events of Unusual Interests
  • Significant changes in Methods/Procedures
  • Conflict of Interests

Topics: 

US DEPARTMENT OF ENERGY

GENERAL TERMS & CONDITIONS

https://www.nsf.gov/pubs/policydocs/rtc/agencyspecifics/doe_417.pdf

Agency Specific Requirements:

  1. Research Terms and Conditions Appendix A or:
  2. Financial Assistance Forms and Information For Applicants and Recipients
  3. Special Terms and Conditions For use in Most Grants and Cooperative Agreements
  • REPORTING 
     
    • Annual – In general an annual progress report is due 90 days prior to the anniversary date of all funding years including the last year.  Reports should be submitted by the PI directly to their DOE Program Manager via email.   PI’s can find all reporting requirements, schedules, and contact information on the Federal Assistance Reporting Checklist, DOE F 4600.2 attached to their award.
       
    • Final- within 90 calendar days following the termination date of the award.  The report  should be submitted via the online system at this link:   http://www.osti.gov/elink-2413
       
  • NO-COST EXTENSIONS
     
    •   First – UMass can approve one no cost extension (of up to 12 months) under expanded authority.  Requests must be submitted to OPAM at opam@umass.edu at least 60 days prior to the then current grant end date ad must provide a specific revised end date and a justification for the extension.    
       
    • Subsequent – no cost extensions require approval from DOE and should be submitted to OPAM at opam@umass.edu at least 60 days prior to the then current grant end date.  The letter of request should be signed by the PI and include the following:
       
  • A specific revised end date.
  • A summary of progress to date and a justification as to why additional time is needed
  • An estimate of funds expected to remain unobligated on the current termination date
  • A description of work remaining and a timeline for completion

 

  • BUDGET REVISIONS:
     
    • Requiring DOE approval:   The PI should prepare a letter of request with supporting documentation and submit to OPAM at opam@umass.edu who will review and forward to DOE as appropriate.  If questions, please contact your award administrator for further guidance.
    • Changes resulting from a significant change in the level of effort for the PI/Co-PI
    • Changes that result from a change in the Scope of the project
    • Need for additional funding
    • Foreign Travel when not approved as contained in the Proposal budget
    • Addition of a subcontract
    • Any change between line items exceeding 10% of the total approved budget
    • Rebudgeting funds from the Trainee/Training line item
     
    • Other Budget Revisions: Normally do not require DOE approval.  If any doubt, contact your grant accountant who can provide guidance.
  • CARRY FORWARD
    Any unobligated balance of funds which remains at the end of any funding period, except the final funding period of the project, shall be carried over to the next funding period
  • PRIOR APPROVAL ACTIONS/REQUESTS

    The following require the prior approval of DOE.  The PI should prepare a letter of request with supporting documentation and submit to OPAM at opam@umass.edu who will review and forward to DOE as appropriate.  If questions, please contact your award administrator for further guidance.
     
  • PI Transfer
  • Change PI or Add/Change Co-PI – or withdrawal of PI/Co-PI
  • Significant change in level of effort for PI or Co-PI
  • Addition of a Subcontract
  • Change in Objectives or Scope
  • DOE approved No-Cost Extension (2nd extension or late request for 1st extension)
  • Long term absence (over 3 months) of PI or Co-PI.  This approval must be sought from DOE in all cases of the PI/Co-PI being away on sabbatical, maternity/paternity leave, medical leave, etc., even if the PI/Co-PI intends to keep in communication with the project.  Part of that approval is how the project will run while the PI/Co-PI is away.
  •  Preaward costs in excess of 90 days
  • GRANTEE NOTIFICATION TYPES:  The PI should prepare a letter of request with supporting documentation and submit to OPAM at opam@umass.edu who will review and forward to DOE as appropriate.  If questions, please contact your award administrator for further guidance.
     
  • Grantee approve No Cost Extension (1st extension)
  • Short term absence of PI/Co-PI (up to 3 months)
  • Significant Changes/Delays or events of unusual interest
  • Significant changes in Methods/Procedures
  • Conflicts of Interest

Topics: 

AMERICAN HEART ASSOCIATION

General Terms and Conditions

http://my.americanheart.org/idc/groups/ahamah-public/@wcm/@sop/@rsch/documents/downloadable/ucm_470094.pdf

The American Heart Association has a web-based Research Administration System, Grants@Heart (link above).  As the PI of a newly funded Award, you need to access this system to electronically submit forms required to “Activate Your Award”.  These forms include:

  • Acceptance Form
  • An Agreement – MUST be printed and mailed to AHA with original signatures
  • A Medical Subjects Heading (MeSH) Form
  • A Subject Use Form
  • A Project Budget
  • ANNUAL SCIENTIFIC PROGRESS REPORTS
  • FINANCIAL REPORTS:  Financial reports should be submitted no later than 90 days after the close of each annual Funding Period/each year of Award Period, or no later than 90 days after an authorized transfer of the Award or early Award termination. Reports submitted at the termination of an authorized extension period must be accompanied by a check for the balance of any unexpended funds.
  • PAYMENTS:  Payments are made through Quarterly Installments (January, April, July, and October)
  • BUDGET REVISIONS:  Prior approval is required for rebudgeting the following items:
  • Rebudgeting of Award funds for the purchase of a piece of equipment totaling more than twenty-five percent (25%) of the annual Project support budget.
  • Rebudgeting of Award funds for computers and components of computer systems (including software) beyond a one-time expense of $5,000 requires prior AHA approval.
  • NO-COST EXTENSION:  In the final year, an Awardee may request a twelve-month extension to complete the project as outlined in the proposal if they cannot be completed in the initial period of the award. This must be completed through the AHA portal (Login at bottom of page):  http://my.americanheart.org/professional/Research/AwardsManagement/Awards-Management_UCM_316911_SubHomePage.jsp  through the Financial Report Form option.   Unexpended funds will be reflected on the Financial Report Form.  The amount of carryforward must be within the permitted dollar limitations (see below).  Funds remaining at the end of an authorized extension year must be returned to the AHA.  A second extension year is not allowed.
  • CARRYOVER OF UNEXPENDED FUNDS

 Fellowship Awards:

  • The Project support for continuing Fellowship Awards may be carried over from year to year without AHA approval. An extension year is not allowed for Fellowship Awards. Funds remaining at the end of the Award should be returned to the AHA.

If allowed by the funding component, the fellow may reapply through the AHA’s competitive Application process for a third year of funding. Please check the AHA website for more information.

Awards:

  • Continuing Year - If there is an unobligated balance of funds of less than $10,000 at the end of an Award Period and if the Principal Investigator is continuing the research, these funds may be carried forward to the next fiscal year without advance approval. This action can be implemented when selecting the appropriate option on the Financial Report form.

If the Principal Investigator is interested in carrying over an amount greater than $10,000, prior approval from the AHA is required. The Principal Investigator must submit a request in writing with the Financial Report form (90 days after the close of the grant year – April 1 or October 1). The Research Committee will review the request and a notice of disposition will be sent to the Principal Investigator.

  • In their final year, Award recipients (except fellows) may request a twelve-month extension to use a portion of or all unexpended funds by so indicating by selecting the appropriate item on the Financial Report Form. The amount of the carryover must be within the permitted dollar limitations. Funds remaining at the end of an authorized extension year must be returned to the AHA. A second extension year is not allowed.

  • Extension Year - If there is an unobligated balance of funds inclusively between $500 and $10,000 at the end of the final fiscal period, such funds may be carried forward without advance approval to a twelve-month extension period if utilized for the purpose for which the Award was made. This action can be implemented by selecting the appropriate option on the Financial Report form. Amounts up to the minimum extension carryover of $500 must be returned to the AHA with the Financial Report.  Unexpended funds of less than $10 may be retained.

Please contact your Award Administrator for further instructions.

FAQ’s:  If you have questions or need clarification of any Award policies, please contact AHA Research Awards Administration at awards@heart.org.

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