|NIH Staff FAQs|
A. General Questions
For an individual grant, conduct a general search in eRA Commons using the grant number. See the project end date in the information displayed for that grant. (See eRA Commons User Guide.)
NIH is developing a tool to assist grantees to identify which of their grants are due to end within the next three months. This search tool will be available on the eRA Commons Quick Queries page beginning in October 2014.
The grantee may extend the final budget period of the previously approved project period one time for a period of up to 12 months beyond the original expiration date shown in the NoA if
Such an action affirms that additional work remains to be completed on the project and that resources are available to continue to support the project, or that additional time is needed to provide for an orderly closeout. The fact that funds remain at the expiration of the grant is not, in itself, sufficient justification for an extension without additional funds.
Grantees must use the eRA Commons No-Cost Extension feature to electronically notify NIH that they are exercising their one-time authority to extend without funds the expiration date of an award. This extension may be up to 12 months beyond the final budget period end date. In the eRA Commons, this notification can be made up to the last day of the current project end date. Upon receipt of this notification, the budget and project period end dates are automatically extended in the eRA system and an e-mail notification is automatically sent to the GMO. No further action is required by the grantee.
These initial extension notifications may not be submitted via e-mail or fax. Grantees who miss the window (or opportunity) to extend the grant in eRA Commons must submit a written prior approval request to the IC. Grantees may not extend project periods that were previously extended by the NIH awarding IC. Any additional project period extension requires NIH prior approval.
See Section 126.96.36.199 of the NIH Grants Policy Statement for further information.
Grantees must submit the following closeout reports:
B. Preparing and Submitting Reports
All reports required for closeout must be submitted no later than 90 days after the project end date.
An overview of the closeout requirements is found in section 8.6 of the NIH Grants Policy Statement. Forms and instructions for specific closeout reports can be found on the Grant Forms page under the heading “Grant Closeout” in the lower portion of the forms table.
Grantees are strongly encouraged to submit the Final Progress Report and the Final Invention Statement (if applicable) through the eRA Commons or may submit those to the address below.
National Institutes of Health
Office of Extramural Research
Division of Central Grants Processing
Grants Closeout Center
6705 Rockledge Drive, Room 5016
Bethesda, MD 20892 (for regular or U.S. Postal Service Express mail)
Bethesda, MD 20817 (for other courier/express deliveries only)
On the normal PMS reporting cycle, a quarterly cash transaction report is due within 30 days of the end of the calendar quarter. A quarterly cash transaction report covering the final quarter of the project period may be submitted before or after the final expenditure FFR is due. For example, for a grant that ends on December 31, the quarterly federal cash report covering the final quarter of that award is due on January 31 even though the final expenditure FFR is not due until March 31. For a grant that ends on April 15, the federal cash report covering the final quarter of that award is due by July 31, even though the final expenditure FFR is due by July 14. (See B.5 regarding potential reporting problems to check before submitting the Final FFR.) Note: For grants ending October 1, 2014 or later, if the grantee submits a final expenditure FFR but does not reconcile any discrepancies between expenditures reported on the final FFR and the last cash report to PMS, NIH is required to close the award at the lower amount.
Final expenditure FFRs must indicate the exact balance of unobligated funds and may not reflect any unliquidated obligations.
The total expenditures reported on the Final expenditure FFR should match the total Federal cash disbursements—i.e., cash drawdowns—reported in PMS. The total Federal cash disbursements amount is derived from the cumulative cash disbursements based on your organization’s last quarterly cash transaction report to PMS. Coordinating the timing of your organization’s submission of a final cash transaction report with the Final expenditure FFR would be useful to ensure these totals correspond with one another and preempt the need to reconcile discrepancies that would prevent NIH’s from accepting the Final expenditure FFR.
Note: Unobligated funds must be returned to NIH or must be reflected by an appropriate accounting adjustment in accordance with instructions from the GMO or from the payment office.
This question does not apply to grants awarded under the PMS B subaccounts.
C. Unilateral Closeout and Compliance-related Questions
NIH will make several attempts to secure the required expenditure FFR. If those efforts are unsuccessful, NIH will take unilateral action to close the grant and/or enforcement actions for recurring reporting problems, including, but not limited to, corrective actions, withholding of further awards, suspension or termination, and removal of authorities (e.g., SNAP, automatic carryover) on active grants. It is important to note that for financial closeout, if a grantee fails to submit a final expenditure FFR, NIH is directed to close the grant using the last recorded cash drawdown level.
It is the grantee’s responsibility to reconcile cash reports submitted to PMS and expenditure reports submitted to the NIH. If any discrepancies are identified during NIH review of the final FFR the grantee will be notified and given an opportunity to submit a corrected revised expenditure FFR. If the grantee does not submit a corrected FFR then the NIH is required to close the award at the lower amount. If closed at a lower expenditure amount, this could be considered a debt or result in disallowed costs.
D. Additional Guidance
NIH is awaiting further guidance from HHS regarding the timeframe in which it must close grants to align with the Office of Management and Budget’s (OMB) recently published Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards; Final Rule (Uniform Guidance).
New HHS policy stipulates that if the agency (NIH) cannot undertake a “bilateral closeout”—i.e., closeout with the cooperation between the grantee and the agency —within 180 days of the project end date, it must initiate “unilateral closeout”—i.e., closeout without receipt of acceptable final reports—for those grantees that are not in compliance with the policy. NIH is also awaiting further guidance from HHS on whether this timeframe will be adjusted. NIH will implement this policy for grants with project end dates after September 30, 2014.
Contact the Grants Management Specialist named on the award to explain the situation and receive further instructions since this will impact the IC’s actions in closing the award. Please note, regardless of whether the IC has already closed the grant, the grantee remains obligated to return funds due as a result of later refunds, corrections, or other transactions; and the Federal government may recover amounts based on the results of an audit covering any part of the period of support.
If, after on time submission of Final expenditure FFR, you want to claim an additional amount for costs properly incurred before the project end date, you must submit a revised Final expenditure FFR as promptly as possible, but no later than 6 months from the due date for the original report, i.e., 9 months following the end of the project end date. The request must include an explanation of why the revision is necessary. An IC can accept a revised Final expenditure FFR claiming additional expenditures received after 9 months only if the IC’s Chief Grants Management Officer approves and exception. Otherwise, NIH will return the submission and indicate that the IC cannot consider it because it is not timely.