nsf- nih update new directions & requirements

Bob [email protected] 2010

OPERA

NIH Update – Fall 2010Information Obtained from meetings of:

Council on Government Relations

Federal Demonstration Partnership

National Council of University Research Administratorsby

Joe Ellis, Director and Staff from

Office of Policy for Extramural Research Administration

OPERA

NIH Budget and Recovery Act News

President’s 2011 Budget Request: $32.2 billionIncrease of 3.2% from FY 2010Increase will support Innovative high throughput technologies, including DNA sequencing, imaging, and computational biology

NIH currently operating under a Continuing Resolution (CR) through 12/18/2010As of 12/8 House passed a CR at 2010 levels whereas the Senate has

drafted an omnibus appropriations bill

More at: http://officeofbudget.od.nih.gov/br.html

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Breakdown of FY 2011 President’s Budget

Request for NIH – $32.2 Billion

53.2%

5.8%2.6%

11.0%

10.5%4.7%2.6%

9.6%

Research Project Grants (53.2%) Research Centers (9.6%)

Other Research (5.8%) Research Training (2.6%)

R&D Contracts (11.0%) Intramural Research (10.5%)

Research Mgmt & Support (4.7%) All Other (2.6%)

$16.4 B

Reminders for spending and no-cost extensions for ARRA awards:

Spending should be timely and expeditious and in accordance with expected pace of researchStandard NIH Terms of Award apply in addition to ARRA specific terms.Grantee has authority to extend project period end dates up to 12 months.

Additional (prior approval) extensions will only be considered in limited circumstances

Cannot role over funds from ARRA awards to non-ARRA awards

http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-067.html

Extension of ARRA Reporting Requirements Additional requirements for Subcontractors

All subawardees required to have DUNS - NewWhile not required for subrecipients, they are encouraged to register with Central Contract Registry (RF/UA Position)


Executive Compensation Reporting for subawardsAwards of $25,000 or more, and in previous fiscal year, entity received

80% or more in annual gross revenue from Federal grants, subawards, contracts, and subcontracts subject to the Act, and $25,000,000 or more annual gross revenue from Federal grants, subawards, contracts, and subcontracts, and Public access to the information is not already available


NIH Director Francis Collins favors creation of a new institute focusing on addictions

Recommended by NIH’s Scientific Management Review BoardNIDA & NIAAA and selected programs from NCI, NHLB ITask force to issue recommendations by summer

Proposal for a new center focused on translational medicine and therapeutics.

OPERA

New Scientific and Grants Management Policies

Effective October 1, 2010, revision superseded the December 2003 version

incorporates all policy changes since 12/03, public policy changes, clarification of existing policiesIncludes new chapters recommended by users (Career Awards, Multiple PD/PI), terminology changes as well as document enhancements.Improves organization of existing chapters

http://grants.nih.gov/grants/policy/nihgps_2010/index.htm


Applicants are responsible for promptly notifying NIH of any substantive changes to previously submitted Just-in-Time information up the time of award, including:

Current other support, certifications, hESCs, other information requested by awarding IC

NIH Guide: NOT-OD-10-120

All SNAP progress reports must now be submitted electronically through the eRA Commons eSNAP module

IRB/IACUC dates not routinely required in progress reportReports due 45 days instead of 60 days before anniversary

PHS 2590 Instructions updated: http://grants.nih.gov/grants/funding/2590/2590.htm Revised eSNAP User Guide posted at http://era.nih.gov/docs/eSNAP_UG_v2.25.0.0_041210.pdf.


The only grant application materials accepted after submission of the application and before the initial peer review will be if they result from unforeseen administrative issues.

Must have concurrence of Authorized Organization Representative (Research Administrator)

See Guide Notice for details on acceptable and unacceptable material, exceptions, and page limits


Facilities and Administrative (F&A) costs awards with Genomic Arrays (GA) costs

First $50,000 treated as supplies each yearAmount in excess of $50,000 treated as consortium costs, F&A rate applied to first $25,000 of excess each year

FAQs are being developed


NIH will not accept a Resubmission that is submitted later than 37 months after the date of receipt (“receipt date”) of the initial New, Renewal, or Revision application.

NIH Guide NOT-OD-10-140

The receipt, processing, review, and awarding of NIH applications and proposals, involving human embryonic stem cells will continue and NIH Human Embryonic Stem Cell Registry will resume accepting submissions.http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-136.html

More at: http://stemcells.nih.gov

OPERA

Highlights of New and Existing Grant Requirements

FCOI regulations require that grantee institutions:

maintain an appropriate written, enforced policy on conflict of interest that complies with the regulations.establish adequate enforcement mechanisms and provide for sanctions, where appropriate.

Notice of Proposed Rule Making (NPRM)Comment period closed 8/19/10Currently evaluating comments received

Next Step – publication of new final rule within 1 year

Significant Financial Interest (SFI)Minimum threshold of $5,000 generally applies to payments and/or equity interestsIncludes any equity interest in non-publicly traded entitiesExclusions include income from seminars, lectures, or teaching, and service on advisory or review panels for government agencies or institutions of higher education

Investigator DisclosureAll SFIs related to investigators’ institutional responsibilitiesInstitutions responsible for determining whether SFIs relate to PHS-funded research and are financial conflicts of interest (FCOI)

Institutional ManagementInstitutions must have a management plan, which may include reducing or eliminating the FCOI

Reporting to PHS Awarding Component (NIH)Current requirements, along with:Value of the financial interestNature of FCOI, e.g. equity, consulting fees, travel reimbursements, honoraria, and description of how FCOI relate to PHS-funded researchKey elements of the institution’s management plan

Public NoticeBefore spending funds for PHS-supported research, an institution shall post on a publicly accessible website information on certain SFIs that the institution has determined are related to the PHS-funded research and are FCOI.

Investigator TrainingFCOI training required for investigators before engaging in PHS funded research, and every two years thereafter

Failure to submit timely reports may affect future funding to the organization.Documents are due within 90 days of project period end date.

Final Financial Status Report (must be submitted electronically) – SFFM responsibilityFinal Inventions Statement & Certification – OSP responsibilityFinal Progress Report –PI responsibility

Failure to submit timely progress reports may affect future funding to the organizationeSNAP progress reports are due 45 days prior to the anniversary date All grantees have access to a searchable list to determine which progress reports are due at: http://era.nih.gov/userreports/pr_due.cfm

New FOA templates implemented:Shorter FOAsUse of consistent language

All applications intended for due dates of September 25, 2010, and beyond must be submitted in response to an FOA.


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Update on Electronic Submission & eRA Commons

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Elimination of Error Correction Window

• Beginning January 25, 2011, NIH will eliminate the error correction window from the application submission process. A few key messages:– The elimination of the error correction window will not affect the

two-business-day application viewing window. Applicants will still be able to view and reject their application and submit a changed/corrected application prior to the submission deadline.

– Applicants are encouraged to submit early –

early submission is the best way to ensure

eSubmission success.

More at: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-123.html

Carefully follow the specific guidelines found in the Application Guide and the Funding Opportunity Announcement (FOA). Be aware that the instructions in the FOA trump those found in the application guide.

Check your application for common errors before you submit! If errors are found in the submission process, you must submit a changed/corrected application.

Correct any errors before the submission deadline. Remember: YOU are responsible for verifying that your application is viewable in the eRA Commons. If you can’t view your application, NIH can’t review it!

Submit Early (UAlbany has 5 day submission rule)!

eRA Commons linked to the National Center for Biotechnology Information’s personal online tool, “My NCBI.”My NCBI’s has a bibliography feature called My Bibliography.PD/PIs must establish a My NCBI account; account must be linked to their eRA Commons account References saved in My NCBI automatically appear in Commons for future use (i.e. in a future progress report).Resources:

Overview & Benefits: http://era.nih.gov/ncbi/ncbi_overview.cfm eRA Virtual School web-based demos: http://era.nih.gov/virtualschool/external/class_bib.htm

More at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-103.html

Effective January 1, 2011, NIH will require the electronic submission of appointment forms and termination notices for research training, fellowship, education and career development awards using xTrain. Paper forms will not be accepted.Training materials on the xTrain webpage:http://era.nih.gov/services_for_applicants/other/xTrain.cfm

More at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-072.html

USGCRP: NSF contributions increase by 16 percent, to $370 millionNSF portfolios:

Science, Engineering, and Education for Sustainability (SEES): $766 millionCyberlearning Transforming Education (CTE): $41 million

Total NSF Budget Request: $7.4M

Administration Priority Programs:

IncreaseFY 2011 over

FYTotal 2010

Graduate Research Fellowship Program $158 M $22.3 MFaculty Early Career Development $209 M $12.8 MClimate Change Education Program $10 M

-Advanced Technological Education $64 M

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Final passage during the current lame duck session is looking less likely:

As of Nov 24, the bill had yet to be filed in the SenateUncertainty of the final FY11 budget discussed under the NIH update

Important research ideas often transcend the scope of a single discipline or program.NSF gives high priority to promoting interdisciplinary research and supports it through a number of specific solicitations.NSF encourages submission of unsolicited interdisciplinary proposals for ideas that are in novel or emerging areas extending beyond any particular current NSF program.

NSF Implementation Activities

Mentoring - All grant applications that include funding to support postdoctoral researchers shall include a description of the mentoring activities that will be provided for such individuals. Mentoring activities may include career counseling, training in preparing grant applications, guidance on ways to improve teaching skills, and training in research ethics.Reports - Annual reports and the final report for research grants that include funding to support postdoctoral researchers shall include a description of the mentoring activities provided to such researchers.The mentoring plan must not exceed one page.

Effective January 4, 2010, a proposing institution's AOR (Research Administrator) must certify that the institution has a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduates, graduate students, and postdoctoral researchers who will be supported by NSF to conduct research.Starting January 1, 2011, this

requirement applies to all UA NSF grants regardless of start date.

Training plans are not required to be included in submitted proposals, but they are subject to review upon request.NSF has modified its standard award conditions to clearly stipulate that institutions are responsible for verifying that the RCR requirement has been met.

CITI Web-Based Training https://www.citiprogram.org/

Graduate Courses:BIO 515a - Responsible Conduct of and Skills in ResearchBMS 670/EHS 675 - Responsible Conduct of Scientific Research

Certificate from an approved RCR course taken at another institution.

Choose your discipline-specific course:Biomedical Research Social and Behavioral Research Physical Science Humanities

Review of the required materials and completion of the quizzes will take about 30-35 minutes per topic. You do not have to complete the course all in one session. A minimum aggregate score of 80% is required to pass the RCR course.

RCR Page on the NSF Policy Websitehttp://www.nsf.gov/bfa/dias/policy/rcr.jsp

Federal Register NoticesFAQsInternational Research Integrity

All final project reports and citations of published research documents resulting from research funded by the Foundation must be made available to the public in a timely manner and in electronic form through the Foundation's Website: Research.gov

In response to statutory requirements, and, as recommended by the National Science Board, mandatory cost sharing has been implemented for the following programs:

Major Research Instrumentation Program;Robert Noyce Scholarship Program;Engineering Research Centers;Industry/University Cooperative Research Centers;Experimental Program to Stimulate Competitive Research

Cost sharing for these programs must be identified on Line M of the approved budget.

Inclusion of voluntary committed cost sharing will be prohibited in solicited & unsolicited proposals.

Line M will be “greyed out” in FastLane.NSF program officers may discuss the “bottom line” award amount with PIs, but may not renegotiate or impose cost sharing or other organizational commitments.NSF Program Officers may not impose or encourage programmatic cost sharing requirements.

The Facilities, Equipment & Other Resources section of the proposal should be used to provide a comprehensive description of all resources (both physical and personnel) necessary for, and available to a project, without reference to cost, date of acquisition, and whether the resources are currently available or would be provided upon receipt of the grant.

All proposals are required to include, as a supplementary document, a data management plan of up to 2 pages.Plan should describe how the proposal will conform to NSF policy on dissemination and sharing of research results.A valid Data Management Plan may include only the statement that no detailed plan is needed, as long a clear justification is provided.

Plan will be reviewed as part of the intellectual merit and/or broader impacts of the proposal.Does not supersede specialized solicitation requirements regarding data management plans.FastLane will not permit submission of a proposal that is missing a data management plan.

Prime contract awardees of contracts $25K or more must report associated contract subawards

Data collection will be phased with all required contract subawards reporting by March 2011

Prime grant awardees of grants $25K or more must report associated grant subawardsExecutive compensation information for awardeesSubawardees must have DUNS number and CCR registration is encouraged

Recovery Act funds were to be awarded in a timely manner. NSF made 5,023 awards for $3.0B by September 30, 2010.All grants were issued as standard grants with durations of up to five years.Funding of new PIs and high risk, high return research ‐ ‐were top priorities.The majority of eligible proposals were already in house. 318 awards made from this pool. Only four ARRA specific solicitations were released.‐

An updated version of the NSF Proposal & Award Policies & Procedures GuideReleased, October 1, 2010Changes Include:

FFATA Subaward RequirementData Management PlansCost SharingProject/Performance Site LocationCompliance with GPG requirements

nsf- nih update new directions & requirements

Documents

federal grants

public policy changes

time information

arra specific terms

terminology changes

substantive changes

nonarra awardshttp

new center