The National Institutes of Health (NIH) is an agency of the U.S. Department of Health & Human Services (DHHS), the largest biomedical research agency in the world.  The NIH invests over 80% of its budget in biomedical research and related training, awarding grants, cooperative agreements, and contracts to more than 300,000 researchers at over 2,500 universities, including CSU.

NIH Notice of Award (NOA)

Like all federal awards, NIH awards come with stipulations regarding how funds can be spent and requirements for making changes to a funded project.  The first place to check for rules governing any particular NIH award is the NOA- Notice of Award.  The NOA will contain, at a minimum, information on:

• Awardee- the entity receiving the award
• PI- the name of the primary person responsible for overseeing the project
• Project Title- the title of the project as proposed
• Grant number– the NIH award number that indicates type of application, activity code, assigned NIH institute or center, serial number, year of support, and other information such as if the award is an amendment, supplement, etc.
• Award period- the time frame in which the proposed activities must be completed unless otherwise indicated (e.g., authorization of pre-award spending or a no-cost extension)
• Terms & conditions- rules that govern spending and reporting of funds, project management, etc.
• Award data- the award amounts, both direct and indirect costs, for the prime awardee and any subawardees
• Contact info- who to contact at the NIH for programmatic and fiscal questions

Extra care should be taken when reading through the NOA to ensure that CSU and the Principal Investigator can comply with the terms of the award.  Any negotiations should be handled by the OSP.

Project Changes

Sometimes during the course of a project changes need to be made.  For example, delays in getting personnel hired may result in the need to request an extension of time to complete the work (i.e., a no-cost extension).  Some award actions require prior approval from the NIH.  Typical award actions requiring prior approval are listed below.  Always consult the NOA and the appropriate OSP SRA (Senior Research Associate) when you anticipate a change.

• Change of PI/Co-PI- when the PI is unable to continue in his or her role
• PI leave of absence- PI disengagement from a project for 3 months or longer
• Reduction in effort of PI/PD- reduction of effort by 25% or greater
• Addition of subawardee organization- subawardees not listed in original proposal/budget
• Change in scope– significant changes to the proposed scope of work
• Transfer of funds budgeted for participant support costs
• Changes in amounts of approved cost sharing
• Inclusion of costs requiring prior approval by the NIH- any additional items called out in the NOA terms and conditions requiring prior approval

For some NIH awards, NIH has waived its authority for prior approval and given, or expanded, these authorities to the awardee (a.k.a, expanded authorities).  Consult the NIH NOA and the appropriate OSP SRA to determine if an action falls under expanded authorities.

Bottom line: Be in communication with the OSP regarding the technical and financial aspects of an NIH (or any other) award.

Roles & Responsibilities

The NOA is the institution’s award agreement with the NIH.  It is important that as an institution we are in communication with the awarding institute/center over the life of the project, particularly if setbacks occur and if changes to the project need to be made.  The chart below lists some of the NIH agency contacts and their roles and responsibilities.  Also listed is the CSU representative who should be in communication with the NIH contact regarding technical and financial matters.

Find, Apply, Succeed

The NIH has a number of tutorials, Frequently Asked Questions, and step-by-step guides to aid investigators and their administrators in successfully administering their NIH award.  Becoming familiar with your specific NOA, as well as general NIH rules governing their programs, will help ensure successful project and award management.

Information on the NIH Award Process

NIH Grants Policy Statement:

https://grants.nih.gov/grants/policy/nihgps/html5/section_8/8.1_changes_in_project_and_budget.htm

Post-award Monitoring and Reporting:  https://grants.nih.gov/grants/post-award-monitoring-and-reporting.htm

Grants Compliance & Oversight:  https://grants.nih.gov/policy/compliance.htm

Learn more about applying to the NIH and award administration by subscribing to NIH listservs, reading through their FAQs or by attending an upcoming NIH Regional Seminar.

NIH Listservs:  https://grants.nih.gov/news/subscribe-and-follow/listservs_and_rss.htm

NIH FAQs:  https://grants.nih.gov/grants/frequent_questions.htm

NIH Seminars:  https://grants.nih.gov/news/contact-in-person/seminars.htm