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CHANGES IN PROJECT & BUDGET

一般而言,NIH受赠人被允许一定程度的纬度来驳斥预算类别内和之间的宽容,以满足意外需求并进行其他类型的授予后变更。受赠人只能在NIH建立的限制内进行一些更改。其他更改需要在修改预算或进行有关活动之前先事先书面批准。允许的自由裁量权的程度因赠款,授予者的类型而有所不同,并通过或参与特殊计划。以下有关特定类型的奖励,活动或获奖者,概述了受赠人的授权人的启动更改以及需要NIH批准的更改。此外,个人授予了我限制受赠人的当局,以未经NIH事先批准进行预算和项目更改。如果需要NIH批准,则必须在“批准请求”下指定的资金更改或义务之前,要求并从指定的NIH GMO获得并从指定的NIH GMO获得。

Changes in project or budget resulting from NIH-initiated changes are also discussed below.

PRIOR APPROVAL REQUIREMENTS

The following table applies to NIH research grants and cooperative agreements to domestic organizations. The table lists the activities and/or expenditures that require GMO prior approval in accordance with the general terms and conditions of award (e.g. Expanded Authorities, Federal Demonstration Partnership (FDP), or the terms and conditions of the NIH policy statement) and also includes activities and/or expenditures where NIH has waived the prior approval requirement on a class basis. The information in this table is for guidance purposes only. Any question about the need for prior approval for an activity or cost under a specific NIH award should be directed to the PAF Team, who will follow up with the designated GMO.
NIH Prior Approval is Required for: Circumstance: NIH Prior Approval is Required for: Circumstance:
Additional no-cost extension, extension greater than 12 months, or late notification of initial no-cost extension All instances 受赠人组织状况的改变 所有实例。
A&R (Alterations and Renovations) 重新预算为A&R成本,将超过预算期间批准预算总预算的25%。如果重新预算无法达到这个阈值,但会导致范围的变化。任何超过$ 500,000的单一A&R项目。 Deviation from award terms and conditions 所有实例。Includes undertaking any activities disapproved or restricted as a condition of the award.
Capital expenditures (construction, land, or building acquisition) 所有实例。Also, any proposals to convey, transfer, assign, mortgage, lease, or in any other manner encumber real property acquired with NIH grant funds. 外国组件增加了给国内或外国组织的赠款 所有实例。
Carryover of unobligated balances If the NoA indicates that the grantee does not have the authority to automatically carry over unobligated balances. Need for additional NIH funding All instances, including extension of a final budget period of a project period with additional funds.
Change in scope All instances Pre-award Costs More than 90 days before effective date of the initial budget period of a new or competing continuation award; always at the grantee's own risk.
在NOA中命名的PD/PI或高级/关键人员的状态更改 Withdrawal from the project; absence for any continuous period of 3 months or more; reduction of the level of effort devoted to project by 25 percent or more from what was approved in the initial competing year award. 重新预算从受训者费用 所有实例。
换人组织的变更 所有实例。 重新计算建筑和非建设工作之间的资金 所有实例。

EXPANDED AUTHORITIES

联邦行政要求允许机构to waive certain cost-related and administrative prior approvals; these are known as expanded authorities. In 2001, NIH extended expanded authorities to all NIH awards except for the provision to automatically carry over unobligated balances. Certain award instruments, grant programs, and types of recipients are routinely excluded from the authority to automatically carry over unobligated balances. This includes centers (P50, P60, P30, and others); cooperative agreements (U); Kirschstein-NRSA institutional research training grants (T); non-Fast Track Phase 1 SBIR and STTR awards (R43 and R41); clinical trials (regardless of activity code); and awards to individuals.

一个或多个这些当局可能被覆盖by a special term or condition of the award. Grantees must review the NoA to determine if a particular authority is withheld for a specific grant.

Grantees must exercise proper stewardship over Federal funds and ensure that costs charged to awards are allowable, allocable, reasonable, necessary, and consistently applied regardless of the source of funds. NIH may disallow the costs if it determines, through audit or otherwise, that the costs do not meet the tests of allowability, allocability, reasonableness, necessity, and consistency.

Several authorities have specific deadlines for submission of reports or for timely notification to the NIH awarding IC. Grantees should be aware that any consistent pattern of failure to adhere to those deadlines for reporting or notification will be grounds for excluding that grantee from a specific authority.

Grantee Authorities as NIH Standard Terms of Award 例外
Carryover of unobligated balances from one budget period to any subsequent period Centers (P50, P60, P30 and others), cooperative agreements (U), Kirschstein-NRSA institutional research training grants (T), non-Fast Track Phase I SBIR and STTR awards (R43 and R41), clinical trials, and awards to individuals, or if the NoA indicates otherwise.
Cost-related prior approval changes, including research patient care costs and equipment The cost would result in a change of scope.
在没有额外NIH资金(无成本扩展)的情况下扩大项目期限的最终预算期限 The grantee has already exercised its one-time authority to extend the award for up to 12 months.
将实质性编程工作的绩效转移给第三方(通过财团协议) 转移将是外国组件,否则会导致范围的变化。

Extension of a Project Period Without Additional Funds:

The grantee may extend the final budget period of the project period one time for a period of up to 12 months beyond the original expiration date shown in the NGA if no additional funds are required to be obligated by the NIH awarding office, there will be no change in the project’s originally approved scope, and any one of the following applies:

  • Additional time beyond the established expiration date is required to ensure adequate completion of the originally approved project.
  • Continuity of NIH grant support is required while a competing continuation application is under review.
  • The extension is necessary to permit an orderly phase-out of a project that will not receive continued support.

在赠款到期时仍保留资金的事实本身并没有足够的延期理由,而没有额外的资金。

The grantee must notify the NIH awarding office, in writing, of the extension ten days prior to the expiration date of the project period. Upon notification, the NIH awarding office will revise the project period ending date and provide an acknowledgement to the grantee. In extending the final budget period of the project period through this process, the grantee agrees to update all required certifications, including human subjects and animal welfare, in accordance with the applicable regulations and policies. Grantees may not extend project periods previously extended by the NIH awarding office. Any additional project period extension beyond the one-time extension of up to 12 months requires NIH prior approval. (See the “Prior Approval Requirements” section above.)


Use of Program Income:

The additive costs alternative for the use of program income applies to awards subject to expanded authorities unless the NGA specifies another alternative or the grantee is a for-profit organization other than an SBIR/STTR awardee. For-profit organizations other than SBIR/STTR awardees are subject to the deductive alternative. (See the NIH’s website under “Administrative Requirements – Management Systems and Procedures – Program Income.”)

Carryover of Un-obligated Balances:

Except for funds restricted in an NoA, unobligated funds remaining at the end of a budget period are automatically carried over. For awards under the Streamlined Non-Competing Award Process (SNAP), funds are automatically carried over and are available for expenditure during the entire project period. However, under those awards, the grantee will be required to indicate, as part of its non-competing continuation request, whether its estimated unobligated balance (including prior year carryover) is expected to be greater than 25% of the current year’s total budget. If so, the grantee must provide an explanation and indicate plans for expenditure of those funds if carried forward. (See the NIH’s website under “Administrative Requirements – Non-Competing Continuation Awards.”)

For those awards subject to expanded authorities but excluded from SNAP (e.g. P01s and R35s), the FSR must specify the amount to be carried over. The notification must be provided under item 12, “Remarks,” on the FSR. When a grantee reports a balance of unobligated funds in excess of 25% of the total amount awarded, the GMO will review the circumstances resulting in the balance to ensure that these funds are necessary to complete the project, and may request additional information from the grantee, including a revised budget, as part of the review. If the GMO determines that some or all of the unobligated funds are not necessary to complete the project, the GMO may take one, or a combination, of the following actions:

  • Restrict the grantee’s authority to automatically carry over unobligated balances in the future.
  • Use the balance to reduce or offset NIH funding for a subsequent budget period. Any amount not identified for carryover may be used as an offset. A revised NGA will not be issued to reflect the carryover.

与成本有关的事先批准,包括患者护理和设备:

NIH批准这些个人费用的批准的要求,包括对它们的辩护,除非它们构成范围的变更,否则不适用。

传输性能的实质性的总结mmatic work to a Third Party by Means of a Consortium Agreement, Contract, or Other Means:

在扩大的当局下,不需要受赠人获得NIH事先批准以转移实质性程序化工作的绩效,除非该活动构成范围的变化或导致将实质性程序化工作转移到外国组件。

请求批准

必须以书面形式(包括电子邮件提交)向指定的GMO提交NIH授予办公室的所有请求,不迟于项目终止日期前30天。

注意:将所有请求发送给PAF团队,该团队将确保该团队获得资金机构。

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