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Grants and Funding: Extramural Programs (EP)

Resources for Grants Administrators

NLM Grants Management Staff is responsible for the issuance of grants award including its business and financial management. Your Grants Management Specialist is listed on your Notice of Grant Award.

General Information

Policies

Frequently Asked Questions

General Information

Welcome Wagon Letter for New Grantees

The NIH Welcome Wagon Letter is an important resource to new grantees and their grants administrators. It provides highlights to key requirements, provide referrals to important sources of information, and identify NIH and other Department of Health and Human Services (HHS) offices that have responsibility for certain administrative functions.

The NIH Welcome Wagon Letter for New Grantees can be found at http://grants.nih.gov/grants/funding/welcomewagon.htm.

Electronic Research Administration (eRA) Commons

Developed, managed and supported by NIH's Office of Extramural Research, the eRA systems provide information technology solutions and support for the full life cycle of grants administration functions for the NIH as well as the Agency for Healthcare Research and Quality (AHRQ), Centers for Disease Control and Prevention (CDC), Food and Drug Administration (FDA), the Substance Abuse and Mental Health Services Administration (SAMHSA), and the Veterans Health Administration (VHA).

The eRA Commons provides grantees with the ability to conduct extramural research business electronically with the NIH.  All grantee institutions, Program Directors/Principal Investigators (PD/PIs), and individuals in a postdoctoral role who participate in a project for at least one person month or more, must be registered in the eRA Commons.  The Commons is the only place where PD/PIs can review assignment information, peer review outcomes, Summary Statements, and other related grant documents such as submitted applications and NoAs.

For more information, please visit http://era.nih.gov/.
Grantee Login is available at https://commons.era.nih.gov/commons.
For user support, please contact the eRA Commons Help Desk at http://era.nih.gov/help/.

Division of Payment Management

All payments for grants awarded by NIH are made through the Division of Payment Management with the exception of awards to agencies of the Federal Government, which are paid by the NIH Office of Financial Management. Applicant organizations are assigned a 12-digit Entity Identification Number for payment and accounting purposes. That number is an expansion of the 9-digit Employer Identification Number assigned to an organization by the Internal Revenue Service.f

For more information, please visit http://www.dpm.psc.gov/.
For user support, please contact the PMS Help Desk at http://www.dpm.psc.gov/contacts/contacts.aspx.

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Policies

Grants Policy

The NIH Office of Extramural Research (OER) is the hub for grants policy and operations, grants administration, and the coordination of NIH's extramural programs and activities. The OER Grants & Funding website provides updates on NIH extramural policies and activities, links to grants notices and grants policy guidance documents including the NIH Grants Policy Statement. For more information, please visit http://grants.nih.gov/grants/policy/policy.htm#gps.

Financial Conflict of Interest (FCOI)

Information on the NIH policies regarding objectivity in research and financial conflict of interest can be obtained by visiting http://grants1.nih.gov/grants/policy/coi/index.htm

System for Award Management (SAM)

In order to receive NLM Grants, all grantee organizations are required to maintain an active registration with SAM, a General Service Administration (GSA) managed system, released in July 2012. NLM will not extend application deadlines due to noncompliance of SAM requirements.

For more information on SAM, please visit https://www.sam.gov.
Sam User Guide is available at https://www.sam.gov/sam/SAM_Guide/SAM_User_Guide.htm#_Toc330768937.
For SAM Service Desk, please visit http://www.FSD.gov.

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Frequently Asked Questions

Forms and Deadlines

NIH requires that grantees periodically submit financial and progress reports. Other required reports may include annual invention utilization reports, lobbying disclosures, conflict of interest reports, audit reports, reports to the appropriate payment points (in accordance with instructions received from the payment office), and specialized programmatic reports.

Failure to comply with reporting requirements and to submit the required forms in a timely manner may result in an expenditure disallowance or a delay in any continuation funding.

Starting in July 2013, all grants awarded under the Streamlined Non-competing Award Process (SNAP) and Fellowships will be required to submit annual Research Performance Progress Report (RPPR). SNAP RPPRs are due the 15th of the month preceding the month in which the budget period ends. Fellowship progress reports are due two months before the beginning date of the next budget period.

Closeout documents are to be submitted to NLM via eRA Commons no later than 90 days after the project end period. A final FFR is required for any grant that is terminated, transferred to a new grantee, or any award which will not be extended through award of a new competitive segment. Grantees are required to electronically submit the final FFR through the eRA Commons (https://commons.era.nih.gov/commons). Other reports such as a Final Progress Report (FPR) and a Final Invention Statement (FIS) may also be required as part of the closeout process.

Please see your Notice of Grant Award and the NIH Grants Policy Statement for specific reporting requirements.

NIH also provides a central site that holds all forms & applications needed to apply for, administer, relinquish or terminate a grant or fellowship. For more information, please visit http://grants.nih.gov/grants/forms.htm.

Just-in-Time Information (JIT)

JIT information is additional information that is requested in advance of any awarding decisions. JIT information is requested by NLM and submitted through the JIT link available in eRA Commons. The most common JIT information requested by NLM includes, but are not limited to updated Other Support information, Human and Animal subject related Assurances, Training and Certifications.

Budgets

NLM grants use two budget models, categorical and modular.

For modular applications requested direct cost funding are made in modules of $25,000, for up to $250,000 each year for covered activity codes. F&A costs for subcontracts are not included in determining the direct cost modular amount or the total cost amount requested. The modules should be an estimate of reasonable, allocable, consistent and conformant costs for the proposed project.

For grants that do not fall under modular requirements a categorical budget is required. A categorical budget is in essence a detailed line item budget accompanied by a budget justification narrative which contains detailed calculations for each of the line items requested.

A justification for all applicable consortium cost, including details such as key personnel and calendar month commitment should be included as a part of your budget. All foreign consortiums must be approved by NLM. See Foreign Involvement Section for more details.

In general, NIH grantees are allowed a certain degree of latitude to rebudget within and between budget categories to meet unanticipated needs and to make other types of postaward changes. NIH grantees may also be allowed carryover authority for unobligated balances. The NoA terms will indicate whether automatic carryover is available. In addition, a first time No Cost Extension for up to 12 months can be self-approved by the grantee via eRA Commons. However, the submission of an interim progress report is required by NLM. On the other hand, some changes may require prior approval from NLM, please see Prior Approval Section for details.

In order to request facilities and administrative costs (sometimes called indirect costs) on a research grant, your organization must have an established, negotiated rate that is accepted by the Department of Health & Human Services. General information about indirect costs rates, including examples of what can be included and an FAQ, can be found at the web site of the DHHS Division of Cost Allocation, https://rates.psc.gov/.

Current Information on Salary Cap can be found at http://grants.nih.gov/grants/policy/salcap_summary.htm.
For additional Information, please visit the NIH Grants Policy Statement at http://grants.nih.gov/grants/policy/nihgps_2012/nihgps_ch13.htm.

Notice of Grant Award

The Notice of Award (NoA) is the legal document issued to notify the grantee that an award has been made and that funds may be requested from the designated HHS payment system or office. The NoA is issued for the initial budget period and each subsequent budget period in the approved project period. The NoA reflects any future-year commitments. A revised NoA may be issued during a budget period to effect an action resulting in a change in the period or amount of support or other change in the terms and conditions of award. NIH will not issue a revised NoA to reflect a grantee's post-award rebudgeting. Until an IC has issued the NoA for the initial award, any costs incurred by the applicant for the project are incurred at its own risk. A grantee indicates acceptance of an NIH award and its associated terms and conditions by drawing or requesting funds from the designated HHS payment system or office.

Each NoA sets forth the amount of funds awarded. The amount may be shown either as a categorical (line item) budget or as an amount for total direct costs (not broken down by category) and an amount for F&A costs, if applicable. The NoA also provides specific NLM terms and conditions applicable to your award. Please read these carefully and if any questions arise, please do not hesitate to contact the grants management specialist listed on your NoA. 

Small Business Innovation Research (SBIR)

The SBIR and STTR programs were reauthorized by Congress in P.L. 112-81, and signed on December 31, 2011. The reauthorization will modify several aspects of the programs, including small business eligibility requirements, upon implementation. Updates on reauthorization implementation will be posted on http://sbir.nih.gov.

NLM's SBIR/STTR grant programs are focused on areas of particular interest from small business.

Additional Just-In-Time information for new SBIR grantees include the completion of the SBIR Verification Statement, completion of the evaluation of Financial Management System Questionnaire, audited financial statements containing data not older than 6 months, and shareholder list. 

Foreign Involvement (Grantee/Consortium)

All foreign grantee and foreign consortiums on domestic grants require NIH prior Approval. Foreign involvement includes foreign collaborators, performance sites outside of the United States and its territories, as well as foreign travel. Your Grants Management Specialist and/ or Programs Official will obtain State Department clearance and request additional information related to foreign involvement as deemed necessary. Please see Prior Approval Section for more details.

Prior Approval

NIH Prior Approval requirements can be found at http://grants.nih.gov/grants/policy/nihgps_2012/nihgps_ch8.htm#prior_approval_requirements.
In order to submit your prior approval request, please contact the Program Officer listed on your Notice of Grant Award.

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