Guidance Regarding Change in Status, Including Absence of PD/PI and Other Key Personnel Named in the Notice of Award

Notice Number:  NOT-OD-20-124

https://grants.nih.gov/grants/guide/notice-files/NOT-OD-20-124.html

Purpose

The purpose of this notice is to clarify NIH expectations regarding change in status, including absence of Program Director / Principal Investigator (PD/PI) and other Key Personnel named in the Notice of Award (NoA) of NIH grants, as well as change in recipient institution. NIH expects that funded biomedical and behavioral research occurs within an environment that is safe, healthful, and conducive to high-quality work.

These updates apply to both requests for a change in status as outlined in the NIH GPS 8.1.2.6, “Change in Status, Including Absence of PD/PI and Other Senior/Key Personnel Named in the NoA,” and 8.1.2.7, “Change of Recipient Organization.”

Change in PD/PI and Other Senior/Key Personnel

NIH is modifying section 8.1.2.6 for clarification. The requirements for obtaining prior approval are not changing. See changes to particular sentences in italics:

The recipient is required to submit a prior approval request to the Grants Management Official (GMO) if:

·         There is a significant change in the status of the PD/PI or other Senior/Key Personnel specifically named in the NoA including but not limited to withdrawing from the project entirely, being absent from the project during any continuous period of 3 months or more, or reducing time devoted to the project by 25 percent or more from the level that was approved at the time of initial competing year award (for example, a proposed change from 40 percent effort to 30 percent or less effort or in calendar months a change from 4.8 to 3.6 calendar months). Reductions are cumulative, i.e., the 25% threshold may be reached by two or more successive reductions that total 25% or more. Once agency approval has been given for a significant change in the level of effort, then all subsequent reductions are measured against the approved adjusted level. Selecting Yes in the RPPR constitutes a prior approval request to the agency and the issuance of a subsequent year of funding constitutes agency approval of the request

·         There is a change from a multiple PD/PI model to a single PD/PI model.

·         There is a change from a single PD/PI model to a multiple PD/PI model.

·         There is a change in the number or makeup of the PD/PIs on a multiple PD/PI award.

NIH must approve any alternate arrangement proposed by the recipient, including any replacement of the PD/PI or senior/key personnel named in the NoA, and the addition of any new PD/PIs.

The request for prior approval of any additional or substitute PD/PIs or Senior/Key Personnel named in the NoA, or change from a multiple PD/PI model to a single PD/PI model, must be submitted promptly, and must be accompanied by a strong scientific justification related to the scientific project, including any proposed changes in scope, the biographical sketch of any new individuals proposed and other sources of support, and any budget changes resulting from the proposed change. A new or revised Leadership Plan is required if the request is to change from a single PD/PI model to a multiple PD/PI model, or to change the number or makeup of the PD/PIs on a multiple PD/PI award. The Commons ID must be provided for any new PD/PIs. In addition, because NIH recipients are expected to provide safe and healthful working conditions for their employees and foster work environments conducive to high-quality research, the request for approval should include mention as to whether change(s) in PD/PI or Senior/Key Personnel is related to concerns about safety and/or work environments (e.g. due to concerns about harassment, bullying, retaliation, or hostile working conditions). NIH will in turn be better positioned to enable informed grant-stewardship decisions regarding matters including, but not limited to, substitute personnel and institutional management and oversight.

Change in Recipient Institution

NIH also expects that requests for change in recipient institution, as outlined in 8.1.2.7, should include mention as to whether the change in recipient institution is related to concerns about safety and/or work environments (e.g. due to concerns about harassment, bullying, retaliation, or hostile working conditions) involving the PD/PI. NIH will in turn be better positioned to enable informed grant-stewardship decisions regarding matters including, but not limited to, substitute personnel and institutional management and oversight. The NIH expects both the relinquishing and applicant organizations to disclose whether a Change of Recipient Organization is occurring within the context of an ongoing or recent investigation of misconduct of any kind, including but not limited to professional misconduct or research misconduct.

Therefore, for awards (competing, non-competing and supplements) issued after the publication date of this notice, NIH expects recipients requesting prior approval for change in PI or Senior/Key Personnel named in the NoA, or changes in recipient institution to include mention as to whether these requests are related to concerns about the safety and/or work environments as noted above.

Please refer to the full announcement and the NIH Grants Policy Statement.

Applications are now being accepted for the 2021 Center for Social Science Scholarship
Summer Fellowships!

Download the application here.

The purpose of this fellowship is to support significant social science research by tenure-track or tenured faculty in the UMBC College of Arts, Humanities & Social Sciences, resulting in a submittable product by December 2021.

Applications are welcome from any tenured or tenure-track faculty pursuing social science research in any CAHSS department. Fellows will receive a $6,000 award during the summer of 2021. Up to three fellowships will be awarded.

By December 2021, each Fellow agrees to complete a submittable product, which can include an external grant or fellowship proposal, journal article, policy paper, book manuscript, or book chapter; upon completion, Fellows shall provide a copy of this submitted product to the Director of the Center for Social Science Scholarship. Fellows who are preparing an external proposal are expected to work with MIPAR for pre- and post-award assistance.

Interested faculty should complete and submit an application consisting of this downloadable 2-page cover sheet and proposal that adheres to the specified guidelines. The deadline for applications is FEBRUARY 15, 2021.

Applications will be reviewed and ranked by members of the Center for Social Science Scholarship Advisory Board, according to the following criteria:

• Quality of proposed research project;
• Significance of the project in its field;
• Publishing/funding potential of the work;
• Qualification of the faculty member to carry out the work, including the requisite expertise in the topic area and prior research productivity;
• Likelihood that the proposed work can be successfully completed with fellowship support and that it will result in a submittable product within the specified time period;
• Approval and recommendation of faculty member’s department chair.

For more information, interested faculty may contact Christine Mallinson, Director, Center for Social Science Scholarship.

Funds for this fellowship are provided by the Center for Social Science Scholarship, the College of Arts, Humanities and Social Sciences (CAHSS), and the UMBC Vice President for Research.

NIH Operates Under a Continuing Resolution:

·         Notice Number: NOT-OD-21-009

https://grants.nih.gov/grants/guide/notice-files/NOT-OD-21-009.html

The Department of Health and Human Services (HHS), including NIH, operates under the Continuing Appropriations Act, 2021 and Other Extensions Act (Public Law 116-159) signed by President Trump on October 1, 2020. This Act (CR) continues government operations through December 11, 2020 at the FY 2020 enacted level, with no reduction.

Continuing the procedures identified under NOT-OD-20-068 and consistent with NIH practices during the CRs of FY 2006 - 2020 the NIH will issue non-competing research grant awards at a level below that indicated on the most recent Notice of Award (generally up to 90% of the previously committed level). Upward adjustments to awarded levels will be considered after FY 2021 appropriations are enacted, but NIH expects institutions to monitor their expenditures carefully during this period. All legislative mandates that were in effect in FY 2020 (see NOT-OD-20-066) remain in effect under this CR, as well as the salary limitation set at Executive Level II of the Federal Pay Scale (see NOT-OD-20-065) and the Ruth L. Kirschstein National Research Service Award predoctoral and postdoctoral stipend levels and tuition/fees as described in NOT-OD-20-070.

Should you have any questions, please contact the Office of Sponsored Programs.

The Judith Shinogle Award Lecture

Featuring Kiki Malomo-Paris  

The School of Public Policy's annual Shinogle Award Lecture will be held Thursday, November 5th at 5pm, via Webex. 

Kuali Protocols for IRB system is available for IRB submissions and other related actions for legacy and new protocols.

The ORPC staff are ready to assist and service IRB submissions through Kuali. We have posted virtual question/answer sessions on our myUMBC page to any questions you may have throughout the initial phase of Kuali IRB implementation. Of course, contact us at compliance@umbc.edu with other questions and concerns.