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Strategy for NIH Funding
Getting a Grant Award · Advice for Managing Your Grant
Pages of Part 7. Funding
If you are working in a domestic institution, use this page to meet all requirements for managing your grant, including reports and new events that affect your grant, for example, a change in the scope of the research or a change of organization.
For advice on these topics, go to Advice for Managing Your Grant.
Note: foreign grantees and investigators should use our Grants Policy and Management Training for Foreign Investigators for information on negotiating and managing their grants.
(This page has factual information only; for advice, see Advice for Managing Your Grant.)
At any point during your grant, NIH can institute a new policy that affects you. Here's how to stay informed:
As a grantee, you have some flexibility to make changes in your project and budget without our approval.
These privileges stem from laws known as the expanded authorities, which give greater autonomy to grantees.
Without NIAID's approval, you can:
Certain changes always require our preapproval.
For a complete list of actions that need our prior approval and instructions for sending your request to NIAID, see the Prior Approvals for Post-Award Grant Actions SOP.
In addition, there may be items specific to your grant, so check your Notice of Award to see whether any other actions are not allowed without preapproval.
Be sure to request approval from your grants management specialist well in advance—at least 30 days before your proposed change. To be safe, you may want to check with your grants management specialist about how much time you'll need for the type of prior approval you're seeking.
If you have questions, contact your grants management specialist or program officer listed in the Commons.
If you change institutions, your institution can relinquish the award to your new one, including to a foreign institution.
When negotiating with a new institution, keep added expenses in mind. We do not pay additional costs, such as salary changes, caused by a transfer, though we do pay your new institution for higher facilities and administrative costs.
As long as your institution agrees, you may take equipment paid with grant funds to the new site.
Your business office may request a change of institution by responding to the Change of Grantee Organization (Type 7 Parent) announcement.
If the proposed change involves moving an award from a domestic to a foreign institution or between foreign institutions, you should contact your program officer immediately. He or she must present your request to our advisory Council—at one of only three meetings each year—whose members must approve it. Only then can your program officer and grants management specialist proceed with their review, which hopefully will result in the approval of issuing the transfer award.
For more information, read:
If your institution does not agree to transfer your grant, it has to terminate the grant or nominate a PI to replace you. See the Change of Principal Investigator SOP for instructions.
Information for multiple PIs. Grants with multiple principal investigators have other actions that require prior approval.
Get more information from your grants management specialist.
Before changing the scope of your research, you need approval from your grants management specialist. Talk to him or her to discuss actions that may change the scope of your research, for example:
For a list of all actions that constitute a change in scope, see Change in Scope in Section 8 of the NIH Grants Policy Statement.
Your expenditure rate is important, so don't depend on your institution to monitor it. When spending grant funds, ask yourself:
We expect you to have reasonable monthly expenditures and will take your spending into account when considering whether to continue funding your project.
If it is authorized on the grant award, you may be able to use grant monies to pay for the costs of inventions, licensing, and patents for items such as licensing fees, attorney's fees for preparing or submitting patent applications, and fees paid to the U.S. Patent Office.
Read about NIH' s cost principles Cost Considerations in Section 7 of the NIH Grants Policy Statement.
As PI, you play a large role in preparing your reports, though you don't submit them. Instead, you give information to your business office so it can send the reports to us.
Still, it's good practice to keep abreast of your due dates. That way you'll know when your business office will need information from you and when to check that your business office has indeed sent it.
Once your project is underway, you and your institution have these ongoing required reports:
In some cases, you may have additional requirements. For example:
Along with the items described above, your institutional business official needs to submit an Annual Report on Possible Research Misconduct to the Office of Research Integrity. ORI will impose a bar on your award if it does not receive this report.
Depending on its size, structure, tax status, and amount of federal funding, your institution may also have to report the total compensation of its five most highly-compensated executives for itself and subawardees receiving $25,000 or more during the grant period.
For the "who, what, when, and how" of your reporting requirements, go to our table at Standard Reports for NIH-Funded Grants.
Find more information online:
As a term of award, your business office has to report expenditures. Make sure you know reporting schedules.
Federal Financial Report
Your business office submits financial data to NIH using the Federal Financial Report (FFR).
Timing of this report depends on your terms of award. Most grants require one FFR within 90 days after your grant's end date. Some grants require more frequent reporting.
Check your Notice of Award to make sure, and contact your grants management specialist with any questions.
For more information, go to the eRA Commons Federal Financial Report (FFR) page.
Cash Transaction Report
In addition to the FFR, your business office sends a quarterly Cash Transaction Report (CTR) directly to the Department of Health and Human Services (HHS).
CTR includes items 10a, 10b, and 10c of the FFR, but your institution sends it separately using the Payment Management System, a secure non-NIH database.
Your CTR is due within 30 days after the end of each fiscal year quarter and within 90 days after the end of your project.
For due dates, use the following table, and contact your business office to find out your internal deadlines.
For more information, go to Grant Recipient Information from the HHS Division of Payment Management.
For each subawardee that receives more than $25,000 during your grant, your business office reports information to the FFATA Subaward Reporting System. Your institution is exempt from this requirement if it is a federal agency or has less than $300,000 in gross income for the previous tax year.
For more information, go to the following pages:
You must report any inventions made during your grant.
For these three items, your business office sends the information through iEdison.
For the fourth item, submit a final invention statement and certification, HHS 568, at the end of your project. Read more at File Your Final Reports at Award End below.
Find more information in Inventions and Patents and Reporting in Section 8 of the NIH Grants Policy Statement.
To maintain support of your research each year, your business office submits a Research Performance Progress Report (RPPR) to NIH before the beginning of each budget period.
Your program officer reviews this progress report to determine whether NIAID will continue funding your project, and your grants management specialist evaluates your grant's administrative and fiscal status.
If you know your institutional profile number, go to Progress Report Search by IPF Number to find out when your progress report is due. Or, you can check eRA Commons for a list of your reports and their due dates.
Make sure your business office turns in your progress reports on time—late or incomplete progress reports cause late awards.
To see the "who, what, when, and how" of your reporting requirements, go to our table at Standard Reports for NIH-Funded Grants.
Access the RPPR through the eRA Commons. eRA automatically populates some information, but you should check for mistakes.
Note that for a multiple PI grant, only the contact PI may edit the RPPR.
For more information, go to the Research Performance Progress Report (RPPR) SOP.
If you created a new model organism, your program officer will assess how you have shared it, so include the number of requests you've received and fulfilled. For more information, see the following:
Describe data, research materials, and other information resulting from research and how they may be shared with other investigators. For more information, see the following:
If you're submitting a renewal application, do not submit a progress report.
When you apply, describe your progress in the Research Strategy as a section with the header "Progress Report" so your program officer can easily find it.
For more on renewals, read Apply for Renewal or Start Anew in the Strategy for NIH Funding.
Your institution will be audited if it spends $500,000 or more a year of HHS award money.
Educational and other nonprofit institutions are subject to OMB Circular A-133.
For-profit organizations can satisfy audit requirements with either of the following:
Audits are required annually. Grantees usually have 30 days after the receipt of the auditor's report to respond to audit findings.
Your institution should submit audit reports using the Federal Audit Clearinghouse's Internet Data Entry System.
If your institution is exempt from an audit, you should still maintain your grant records in case NIH needs to review or audit them.
At the end of your award, your institution sends us three closeout reports:
You have 90 days after the end of your grant to make sure we receive these forms. Failure to submit final reports on time may affect funding to your institution in the future.
For more on closeout requirements, see Closeout in Section 8 of the NIH Grants Policy Statement.
Your final Federal Financial Report should indicate the exact balance of unobligated funds.
Your Final Invention Statement and Certification form, HHS 568, should cover the period from the date your support began to the date your award expired. Send it even if you previously reported inventions or your funded project did not result in an invention.
Make sure you list all inventions that were conceived of or put into practice during the course of your project. If you had no inventions, put "None."
Before you submit your form, remember to have your institutional business official sign it.
Your Final Progress Report helps NIAID staff evaluate your research. Make sure your Final Progress Report includes the following.
Note: if you submit a renewal application before the due date of your progress report, you do not need to submit a separate progress report for your grant.
Submit final reports electronically through the eRA Commons. Query the Commons Status system for a list of ended grants, then enter the Closeout screen to submit the reports.
Note: You cannot use the RPPR mentioned above for final progress reports.
Your institution must submit your final Federal Financial Report through the Commons.
Send your final progress report and invention statement and certification in one of three ways:
For manuscripts, include one copy of reprints not previously submitted, if you can. But if you have submitted a publication to the PubMed Central archive, send the PMC identification number instead.
You must keep your project records for three years after the grant ends.
If any issue arises, we need to be able to verify the records, which must include all data and fiscal information. For detailed information, read Retention and Access Requirements for Records, 45 CFR Part 74.53.
Know that through the Freedom of Information Act, other people can gain access to information concerning your grant.
If other scientists formally request non-proprietary information from your application, our FOIA office will provide it. See the Privacy, Conduct, Conflict of Interest, and Clinical Research Ethics questions and answers for more information.
Strategy for NIH Funding
See the other sections ofPart 7. Funding
Table of Contents for the Strategy
We welcome your comments, questions, or suggestions. Email firstname.lastname@example.org.
Last Updated October 31, 2014
Last Reviewed September 30, 2011