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Q&A on Grants Management with NIH’s Debbie Pettitt and Teri Ann Pailen

In October, the Delaware Valley Chapter of SRAI (DVSRAI) hosted a Chapter Chat on the topic “NIH Grants Management Specialists: Why Do Institutes Do Things Differently?” This informal conversation focused on what a GMS does, who to contact for questions regarding a Notice of Award, and why things are handled differently from one NIH institute to another. 

Debbie Pettitt, Senior Grants Management Officer at the National Institute of Dental and Craniofacial Research (NIDCR) was joined by Teri Ann Pailen, Supervisory Grants Management Specialist at the Eunice Kennedy Shriver National Institute of Child Health and Human Development (NICHD). 

Our NIH panelists were available to answer the below questions for our 49 participants. 

Beth Lynch: What is the difference between a Grants Management Specialist (GMS) and Grant Management Officer (GMO)?
Debbie Pettitt: The GMS does not have the authority to release funds, whereas the GMO can release the funds.
Teri Ann Pailen: And a Team Lead’s role is to provide support to the GMS and to give them the tools to perform their jobs successfully and to encourage and/or assist their professional growth. 

Beth Lynch: The Notice of Award lists a GMS and a GMO.  Are these always different or can they be the same person, and who should be contacted for questions?
Debbie Pettitt: In some institutes, they can be the same, but sometimes they can be different.  At the dental institute [NIDCR], they will always be different, but always contact your GMS with questions because they are more familiar with the grant details.
Teri Ann Pailen: In my institute, Specialists who are certified at a certain level sign their own awards. In this case the GMS and GMO will be different on the Notice of Award. The GMS should be contacted for questions pertaining to the award. Our branch has been allowed an exception from OPERA in order for the Specialists to sign their own awards.

Beth Lynch: Do you have any tips that you can provide for when we need to contact either the GMS or GMO?
Debbie Pettitt: Always provide the grant number in either the subject line or the body of the email. 
Teri Ann Pailen: Email is preferred so that the GMS or GMO has time to look up the grant and familiarize themselves before they can answer any questions. 

Beth Lynch: Do all grants have a GMS and a GMO?
Debbie Pettitt: Yes, but it may not always be the same GMS or GMO every time. 
Teri Ann Pailen: I think the answer is “Yes” across the board.

Beth Lynch: Should all communications to the GMS be through the Institutional Officer (IO) or is it okay for the department administrator or program managers to directly contact the GMS?
Debbie Pettitt: Some unofficial questions may be answered, but if it is an official communication, then it must be from the IO.
Teri Ann Pailen: Agreed.

Beth Lynch: Do you have advice on how to successfully transfer an award?
Debbie Pettitt: This must be done 30 days prior to the PI leaving the institution. And just because it was submitted, doesn’t mean it will be approved.  It must go through a review process and determination will be made.  If the institution relinquishes a grant, but does not submit a transfer application with it, then NIH will not relinquish the funds. We will transfer grants with no-cost extensions. 
Teri Ann Pailen: Submit the request ASAP and before the PI leaves their original institution.  In NICHD, we will not transfer an award if there is less than 90 days left on the award. We will also not transfer grants that are in no-cost extensions. It is important to know specific Institute policies and therefore may be helpful to contact your Grants Management Specialist prior to submitting the request.

Beth Lynch: What are some reasons that you wouldn’t approve a transfer?
Debbie Pettitt: If there is no money left; funds need to be commensurate with the work that still needs to be done.
Teri Ann Pailen: We do not have a threshold, but not less than 90 days and not during a no-cost extension.

Beth Lynch: How can the transfer request be submitted before we know the final expenditures (which continue to hit until their last day)?
Debbie Pettitt: You must submit an estimated amount on the relinquishing report and then it would have to be adjusted later. If the FFR is not appropriate or accurate and is rejected, read the notes and resubmit. 
Teri Ann Pailen: The budget will need to be adjusted on the FFR. If the FFR differs, then the award will be adjusted.

Beth Lynch: Will the policies be standardized?
Debbie Pettitt: Even when the policies are standardized, we each have our own interpretations, unless they are from OPERA, which we all must abide by.  
Teri Ann Pailen: Most of us are still trying to figure it out, but FAQ’s and other guidance should be coming out soon on the NIH website.

Beth Lynch: Can you talk more about the Data Management and Sharing (DMS) policy that is coming out early next year?
Teri Ann Pailen:  It is effective Jan 23, 2023 and it must be submitted with competing applications and I believe they will include the Genome plans. Peer reviewers will not see the plans; they will only see the budget justification for the plans. The program officers will review the plans and let the Grants Management Specialists know if the plans are acceptable. If not and there are issues needed to be addressed, this will be requested with the JIT. 

Beth Lynch: Is there a standardized policy on electronic signatures?
Debbie Pettitt: The date and time of the signature must be verified. 

Beth Lynch: Do Institutes offer training to the outside organizations?  
Debbie Pettitt: Not that I know of. 
Teri Ann Pailen: Not that I know of.  They will attend conferences like SRA and present information. 

Beth Lynch: What would you say are the top 3 challenges of working with extramural awards?
Debbie Pettitt: Not having prior approvals before the grant is submitted and getting push back when asked for more information. 
Teri Ann Pailen: When we get push back. For example, we cannot release an award until all required documentation is received.

Authored by Beth Lynch, Senior IRB Analyst
Albert Einstein Healthcare Network
SRAI Delaware Valley Chapter Secretary