NIH GUIDE, Volume 23, Number 38, October 28, 1994

P.T. 34


  Grants Administration/Policy+ 

National Institutes of Health

In the spirit of the Federal Government's reinvention initiatives,

the National Institutes of Health has developed a simplified process

for the submission of information prior to the issuance of a non-

competing award.

Currently, a progress report and four financial documents are

required each year for each grant.  Two of these financial documents

are in the non-competing continuation application kit (PHS 2590) -- a

budget for the next budget period and an estimated report of

expenditures for the current budget period.  In addition, the grantee

institution is required to submit a Financial Status Report no later

than 90 days after the close of the budget period and a Federal Cash

Transaction Report.

At the time a competitive award is negotiated, NIH staff assure that

proposed costs are allowable, allocable, reasonable, and necessary

for the project.  These costs are analyzed for each year of the

project at the time of the initial award, and reasonable annual

increments are provided.  Since the budget is negotiated for all

years of the project period at the time of the initial award, annual

requirements for financial documentation are being streamlined.  Only

a modified progress report, the Federal Cash Transaction Report, and

the Financial Status Report will be required to enable NIH staff to

monitor the scientific and financial aspects of the project.

The simplified non-competing continuation application process is

effective immediately.  Instructions are below.



These instructions should be used in conjunction with the

instructions in the PHS 2590 application kit to submit information

for determinations of continued support.  Elements in the PHS 2590

remain the same, e.g., a biographical sketch page is still required

for new key personnel, and when additional information is required,

appropriate pages from the PHS 2590 kit should be used.

These instructions apply to R01, R03, R13, R15, R18, R21, R24, R25,

R29, R37, R42, R44, and all K series mechanisms:

1.  Complete the face page (form page 1), the Progress Report Summary

(form page 6), the personnel and study subjects page (form page 7),

the checklist page (form page 8), and provide a brief, two page,

progress report (tables and/or figures that summarize key

accomplishments may be in addition to the two pages).  It is not

necessary to complete the indirect cost portion of the checklist page

unless there is a change in performance site.

2.  Answers to the following questions should be inserted before the

progress report.

a.  Has there been a change in other support of key personnel since

the last reporting period?  If yes, form page 5 of the PHS 2590

application kit must be completed.  If no, so state.

b.  Will there be, in the next budget period, significant rebudgeting

of funds and/or change in level of effort for key personnel from what

was approved for this project?  If yes, the budget page (form page 2)

and the budget justification page (form page 3) of the PHS 2590 kit

must be completed.  If no, so state.

c.  Any estimated unobligated balance (including prior year

carryover) that is greater than 25 percent of the current year's

total budget or more than $250,000 must be explained.

After reviewing the continuation application, program or grants

management staff may require additional information to evaluate the

project for continued  funding.  Failure to provide this information

in a timely manner will result in a delayed award.

If a project or grantee organization requires closer monitoring by

nih staff, the project and/or organization may be exempted from using

the simplified non-competing continuation application procedures.


If there are questions concerning the simplified non-competing

continuation application procedure for a specific award, contact the

grants management specialist or program administrator who is

responsible for the administration of the award.


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