Skip Navigation
 
 
 
 xxx
 
 
 
 
 
 
 
 
 
Print This Page
Share this page: More
 

Post Award Procedure

C. PHS EXPANDED GRANT AUTHORITIES FOR RESEARCH ACTIVITIES AT GRANTEE ORGANIZATIONS
[Back to Contents]

A. FEDERAL GRANT PRIOR APPROVAL CATEGORIES

B. FEDERAL DEMONSTRATION PROJECT AWARDS

C. PHS EXPANDED GRANT AUTHORITIES FOR RESEARCH ACTIVITIES AT GRANTEE ORGANIZATIONS

D. OTHER AWARDS NOT ELIGIBLE FOR EITHER FEDERAL DEMONSTRATION PROJECT OR EXPANDED GRANT AUTHORITIES

E. BUSINESS OFFICE, SCHOOL OF MEDICINE

F. INVESTIGATOR RESPONSIBILITIES

G. TRANSFER OR TERMINATION OF INVESTIGATORS

H. EQUIPMENT PURCHASING, INVENTORY AND DISPOSITION

I. EQUIPMENT LOANS

J. OTHER ADMINISTRATIVE POLICIES AND PROCEDURES


C. PHS EXPANDED GRANT AUTHORITIES FOR RESEARCH ACTIVITIES AT GRANTEE ORGANIZATIONS

PHS has implemented expanded authorities for grantee organizations, designed to "waive approval of certain actions which had previously required awarding office prior approval." These PHS expanded authorities offer many, but not all, of the Federal Demonstration Project (FDP) authorities to grants from PHS agencies other than NIH. Since JHU does participate in the FDP, only PHS grants awarded to JHU from agencies other than NIH, such as FDA, CDC, etc., would come under PHS Expanded Authorities. Subcontracts from non-FDP participating institutions are also under Expanded Authorities.

These expanded authorities are applicable to all PHS research grants with the following exceptions: cooperative agreements or when an awarding component specifically excludes a grant award from the expanded authority.

NIH (only when awarding to non-FDP participating institutions) is applying the expanded authorities to all R series grants (except Phase I SBIR and STIR), Program Projects Grants (P01s) and Research Career Awards (Ks).

The Notice of Grant Award issued within the covered research programs will indicate that a research grant is subject to the expanded authorities administration provision. The table below summarizes when prior approval is required for Expanded Grant Authorities. This list is not all-inclusive. In the event you are uncertain as to whether a particular change is significant enough to require agency prior approval, consult your Sponsored Projects Officer in the Office of Research Administration.

1. Prior Approvals:
The table below summarizes when prior approval is required for Expanded Authorities Awards:

PRIOR APPROVALS
FOR EXPANDED AUTHORITIES AWARDS ITEM EXPANDED AUTHORITIES AWARDS

A. No-Cost Extension (Up to 12 months) 

Dept./Sponsored Projects Office2 

B. Pre-Award Costs (Up to 90 days)

Dept./Sponsored Projects Office3

C. Carryover4

See Footnote5

D. Substantive Change in Objective or Scope6

Awarding Agency

E. Absence or Change in P.I.7

Awarding Agency

F. Change of Grantee Organization8

Awarding Agency

1 Prior Approval - For items requiring awarding agency prior approval, the Principal Investigator needs to write a letter to the agency that includes space for ORA signature. This letter is forwarded to ORA along with written certification of Departmental approval.

2 No-Cost Extension for Expanded Authorities Awards - The University has unilateral authority to issue a one-time 12-month no-cost extension to the expiration date of the project. Department and ORA approval is needed for a no-cost extension. The Principal Investigator should originate the letter to the Awarding Agency, notifying the Grants Management Specialist that under the terms of Expanded Authorities the University is extending the termination date of the grant. In the letter, the P.I. should specify the number of months the grant is being extended, as well as the new termination date. This letter is forwarded to ORA for signature by the Assistant Dean for Research Administration.

3 Pre-Award Costs for Expanded Authorities Awards - The Principal Investigator must send a written request to the Department Chair specifying or requesting the account number that will be responsible for pre-award expenditures. This is the account that will be charged if no award is made or if the charges are not allowable. The Department Chair must sign off on any request for pre-award costs before it is sent to the Office of Research Administration.

4 Carryover - is the transfer of any unobligated balance or over expenditure of funds which remains at the end of a budget period, to the next budget period except in the final year of a grant. (NIH allows carryover between competing awards.) Funds that are carried forward are expended using the indirect cost rate(s) in effect at the time of the expenditure (the date the check is cut). Over expenditures carried forward are a debit (including the prior year's indirect cost rate) from the total funds available for the current year.

5 Expanded Authorities Awards Carryover - Automatic cumulative carryover is allowed up to 25% of the current year's total budget. Any estimated unobligated balance (including prior year carryover) that is greater than 25% of the current year's total budget or more than $250,000 must be explained in the non-competing continuation application. To ensure carryover, the Financial Status Report (FSR) must be received by the agency no later than 90 days after the close of the budget period. This means the Principal Investigator must work with Research Accounting to ensure that the FSR is received by the agency within the 90-day period.

6 Substantive Rebudgeting or Change of Workscope or Research Objectives - The Principal Investigator is required to seek approval from the PHS awarding component when there is a change in the scope or research objectives of the project. Actions likely to be considered a change in the scope or objectives include, but are not limited to, the following:

  • A change in the specific aims approved at the time of award;
  • Substitution of one animal model for another;
  • Any change from the approved use of animals or human subjects;
  • Shifting the emphasis of the research from one disease area to another;
  • Applying a new technology, i.e., changing assays from those approved to use of a different type of assay;
  • Transferring the performance of substantive programmatic work to a third party by contract or any other means;
  • Change in key personnel or significant change in their level of effort from what was approved for this project. (A significant change in level of effort is defined in the federal regulations as a 25% reduction in time devoted to the project);
  • Significant rebudgeting whether or not it requires approval under rules governing budget changes (including key personnel, salary, equipment, etc.). Significant rebudgeting occurs when the cumulative amount of transfers among direct cost categories for the current budget period exceeds 25% of the total amount awarded, or $250,000, whichever is less;
  • and Incurrence of patient care costs where the need has not previously been approved by PHS and/or when a P.I. desires to rebudget funds OUT OF the patient care category.

7 Absence of P.I. - NIH defines absence of P.I. as any continuous period of more than three months.

8 Change of Grantee Organization - PHS approval is required to transfer a grant from one grantee organization to another.

 

Traveling for care?

blue suitcase

Whether crossing the country or the globe, we make it easy to access world-class care at Johns Hopkins.

U.S. 1-410-464-6713 (toll free)
International +1-410-614-6424

 

 
 
 
 
 

© The Johns Hopkins University, The Johns Hopkins Hospital, and Johns Hopkins Health System. All rights reserved.

Privacy Policy and Disclaimer