Notice of Annual Reporting Requirements and Revised Financial Closeout Requirements for NIH Administrative Supplements Awarded to Recover Losses Due to Hurricane Sandy under the Disaster Relief Appropriations Act

Notice Number: NOT-OD-14-112

Key Dates
Release Date: July 30, 2014

Related Announcements
NOT-OD-13-106
RFA-OD-13-199
RFA-OD-13-005
RFA-OD-13-006
RFA-OD-13-007
RFA-OD-13-008
RFA-ES-13-008
NOT-OD-13-013

Issued by
National Institutes of Health (NIH)

Purpose

The purpose of this Guide Notice is to inform grantees: 1) that information on Disaster Relief Appropriations Act (DRAA) -funded Administrative Supplements and Competitive Revisions must be included in the annual progress report of the parent grant and 2) of revised financial closeout requirements.

Reporting on Administrative Supplements and Competitive Revisions in the Annual Progress Report of the Parent Grant
National Institutes of Health (NIH) is revising a reporting requirement provided in NOT-OD-13-106, Notice of Special Terms and Conditions for NIH Hurricane Sandy Recovery Awards. The requirement stated that a separate Research Performance Progress Report (RPPR) is due on the anniversary of the award's budget start date for administrative supplements awarded with Disaster Relief Appropriations Act (DRAA) funds.

In lieu of a separate anniversary RPPR, NIH is requiring recipients of DRAA administrative supplements to report on progress in the annual progress report(s) of the parent grant, which is a standard reporting requirement. This reporting revision does not affect other Sandy related special reporting requirements.

NIH has not eliminated the annual progress reporting requirement; we only have revised how recipients of administrative supplements will submit this information. In addition to progress reports, DRAA funding recipients must continue to submit quarterly programmatic and financial reports as well as final close-out reports (i.e., Final Progress Reports, Final FFRs, Final Invention Statement and Certification reports).

Financial Closeout Requirements for DRAA-funded Supplements and Revisions for Grants with Multiple DRAA Supplements
Closeout of multiple DRAA supplements or competitive revisions to a Parent Award funded with non-DRAA dollars

When multiple DRAA-funded supplements and/or competitive revisions are awarded to the same parent grant that was funded with non-DRAA dollars, awardees are only required to submit a single Financial Status Report (FSR) at the time the project period of the last DRAA supplement or revision ends (e.g., after the project periods for all other supplements and revisions have also expired). In cases where an DRAA supplement/revision is awarded after a previous DRAA supplement/revision has already been closed out, a revised SF425 Federal Financial Report (FFR) will need to be submitted at the end of the last awarded DRAA supplement/revision. Reminder, when multiple DRAA supplements/revisions are awarded, if any one of the awards is extended, then the FFR due date for all the DRAA supplements/revisions is also extended.

Closeout of one DRAA supplement or competitive revision to a Parent Award with regular NIH appropriation funds
With the minor exception of those cases described above, the requirement remains for grantees to submit separate closeout documents (Final Progress Report, Final Financial Status Report, and Final Invention Statement and Certification) to close out the DRAA funding at the time the DRAA funding ends. These closeout reports for the DRAA funding are required even when the parent grant continues beyond the period of DRAA support.

Closeout of one or more DRAA supplements or competitive revisions to a Parent Award with DRAA funds
This revised financial closeout policy does not affect grants where the parent and supplements/revisions are all awarded with DRAA funds. In those cases standard closeout procedures apply; i.e., only a single FFR is required at the end of the DRAA project period. In cases where a supplement has ended, but remains open pending the completion of another supplement, information on any additional supplement activities should be submitted in the progress report of the parent grant, as described above.

The NIH Extramural Response to Natural Disasters provides helpful DRAA related information: http://grants.nih.gov/grants/natural_disasters.htm.

Inquiries

Please direct all inquiries to: Office of Policy for Extramural Research Administration (OPERA)
Division of Grants Compliance and Oversight (DGCO)
Office of Extramural Research (OER)
National Institutes of Health
Telephone: 301-435-0949
Email:  SandyCompliance@mail.nih.gov

 

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