Post-Award Grant Management

Contents

• Standard Terms and Conditions
• Grant Payment
• Reporting Requirements
• Requests for Change(s) to Award
• Noncompeting Continuation Funding
• Inspector General Hotline
• Financial Reporting
• Invention Reporting
• Final Reports/Closeout Requirements
• Frequently Asked Questions
• Recognition for AHRQ-Funded Publications
• Grants Management Staff Contacts

 Standard Terms and Conditions

Individual awards are based on the application submitted to, and as approved by AHRQ and are subject to the terms and conditions incorporated either directly or by reference in the following (this order of precedence prevails in the event there are conflicting or otherwise inconsistent policies applicable to the award):

• 42 U.S. Code sections 299-299c-7 as amended by Public Law 106-129. Note in particular sections 299c-1(c) and (d) regarding obligation to maintain confidentiality for identifiable data.
• Pertinent restrictions on the expenditure of Federal funds in applicable appropriations acts.
• 42 Code of Federal Regulations Part 67, Subpart A. Note section 67.19 and consider if Health Information Privacy Regulation, 45 Code of Federal Regulations Parts 160 and 164 (published in 65 Federal Register 82462 ff., December 28, 2000) applies to any data to be used for proposed research.
• 45 Code of Federal Regulations Part 74 or 45 Code of Federal Regulations Part 92, as applicable.
• The Notice of Grant Award including all terms and conditions cited on the document or attachments, such as the Department of Health & Human Services (HHS) Grants Policy Statement with addenda.

As stated in the HHS Grants Policy Statement, acceptance of the grant terms and conditions is automatically acknowledged by the grantee when funds are drawn or otherwise obtained from the grant payment system.

As of February 2008, a new Term of Award—Human Trafficking—applies to all grantees of AHRQ.

As of July 2013, a new Term of Award—Pilot for Enhancement of Contractor Employee Whistleblower Protections—applies to all grants of AHRQ.

As of July 22, 2014, a new Term of Award—Federal Recognition of Same-Sex Spouses/Marriages—applies to all grantees of AHRQ.

  Legislation and Policy Applicable to Awards

• Effective October 1, 2010: Requirement for Central Contractor Registration and Universal Identifier (http://www.ahrq.gov/funding/grant-mgmt/CCRDUNNS.pdf [22.57 KB]). This is implemented in accordance with OMB Interim Final Guidance, Federal Register Volume 75, No. 177, September 14, 2010; 2 CFR Subtitle A, Part 25).
• Effective October 1, 2010: Requirement for Reporting Subawards and Executive Compensation on AHRQ Grants and Cooperative Agreements (http://www.ahrq.gov/funding/grant-mgmt/subawards.pdf [33.11 KB]). This is implemented in accordance with OMB Interim Final Guidance, Federal Register Volume 75, No. 177, September 14, 2010; 2 CFR Part 170.

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 Grant Payment

AHRQ award payments are available through the Payment Management System (PMS). PMS is administered by The Division of Payment Management (DPM), an office of U.S. Department of Health & Human Services' (HHS) Program Support Center, Financial Management Service (http://www.dpm.psc.gov).

Inquiries should be directed to:

Director, Division of Payment Management, OS/ASAM/PSC/FMS/DPM
P.O. Box 6021
Rockville, MD 20852
Telephone: 1-877-614-5533

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 Reporting Requirements

In general, HHS grant programs have requirements for both financial and programmatic performance reporting.

For grant projects with more than one budget period, the grantee is required to submit an annual Research Performance Progress Report (RPPR) using the electronic RPPR module in the eRA Commons (which includes a detailed budget). A small number of AHRQ grants are multi-year funded (MYF) awards (awards in which the budget and project periods are the same and are longer than 12 months).  These awards require the annual submission of a complete PHS 2590 Non-competing Continuation Progress Report (http://grants.nih.gov/grants/funding/2590/2590.htm) in accord with the terms of the award. The PHS 2590 is a paper progress report.

For all AHRQ grants, the due date of the annual progress report is three (3) months before the anniversary of the award (NOT HS-15-001 at http://grants.nih.gov/grants/guide/notice-files/NOT-HS-15-001.html). Grantees should also refer to the Notice of Award for any additional reporting requirements.

For further details regarding non-competing application requirements, go to the Non-Competing Continuation Funding section at http://www.ahrq.gov/funding/grants/process/noncomp.html.

Financial reports are required annually by AHRQ for all grant programs. Effective March 1, 2011, grantees must submit this information on the Federal Financial Report (FFR; SF-425). The FFR replaces the previous financial reporting form which was the Financial Status Report (FSR; SF-269 or SF-269A). The FFR must be submitted for each budget period no later than 90 days after the end of the calendar quarter in which the budget period ends. The final FFR is due no later than 90 days after the project period end date.

Submit the Federal Financial Report (SF 425) electronically via the eRA Commons.

Select for a table of FFR due dates.

At its discretion, AHRQ may require progress reports and/or financial reports to be submitted more frequently than annually, but no more frequently than quarterly. The terms of award will indicate if more frequent reporting is required. When a grant ends, the grantee is required to submit a Final Invention Statement, Final Progress Report, and Final FFR. For details, please refer to the Final Reports/Closeout Requirements section.

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 Requests for Change(s) to Award

The HHS Grants Policy Statement (HHS GPS) addresses post-award prior-approval requirements related to making certain direct cost budget modifications or undertaking specified activities. Some post-award changes may be made without AHRQ prior approval as long as they are within the limits established by HHS.  Post-award changes that require AHRQ approval, as well as changes that may be made under the recipient’s authority, are outlined in the HHS GPS. If AHRQ prior approval is required, it must be requested of, and obtained from, the AHRQ Division of Grants Management (DGM) in advance of the change or obligation.  The grantee institution must submit a written request, endorsed by an authorized institutional official, to the Grants Management Specialist listed on the Notice of Award.  Such requests include, but are not limited to:

• Changes in the scope or objectives of the project.
• Re-budgeting requests that cannot be approved by the grantee institution.
• Carry over from one budget period to another of restricted funds or, when a grant is not included under expanded authorities, of unobligated funds.
• Extensions of time during the final budget period that cannot be approved by the grantee institution.

Email submissions to the assigned Grants Management Specialist are acceptable.

Our mailing address is:

Agency for Healthcare Research and Quality
Division of Grants Management
5600 Fishers Lane
Rockville, MD 20857

Be sure that any request for PHS/AHRQ prior approval is countersigned by the Principal Investigator and an authorized institutional official in accordance with PHS policy. Any requests that have programmatic aspects will be acted on only after consultation with the appropriate AHRQ project officer.

If AHRQ approves the request, the grantee will receive written notification from DGM staff in the form of a letter, email, or revised Notice of Award.

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 Noncompeting Continuation Funding

For instructions for requesting continued support beyond the first year of funding go to: http://www.ahrq.gov/funding/grants/process/noncomp.html.

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 Inspector General Hotline

The HHS Inspector General (IG) maintains a toll-free telephone number, 800-447-8477, for receiving information concerning fraud, waste, or abuse under grants and cooperative agreements. Such reports are kept confidential, and callers may decline to give their names if they choose to remain anonymous.

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 Financial Reporting

HHS policy requires a report of expenditures as documentation of the financial status of grants according to the official accounting records of the grantee organization.

AHRQ grantees are to submit expenditures information using the Federal Financial Report (FFR; SF-425). The FFR replaces the previous financial reporting form which was the Financial Status Report (FSR; SF-269 or SF-269A). AHRQ requires the electronic submission, via the eRA Commons, of a financial report for every grant or cooperative agreement on an annual basis. The annual FFR is due 90 days after the end of the calendar quarter in which the budget period ends.

The expenditure data elements of the final Federal Financial Report (FFR; SF-425) submitted via the eRA Commons must exactly match the final expenditures reported on the grantee's cash transaction report (which is reported directly to PMS using the FFR cash transaction data elements) and reflected in the Payment Management System. All obligations must be liquidated before final FFR submission. The final FFR is due no later than 90 days after the project period end date.

Please note that FFRs are not required for Fellowship (F31, F32) grant awards.

FFR Due Dates

Timely submission of accurate FFRs is important. Unobligated balances of Federal funds may be requested to be carried forward to the subsequent budget period if the grantee anticipates and justifies a need for the funds. For grants under expanded authorities, the grantee institution may approve the carry forward of unexpended, nonrestricted funds to the subsequent budget period and must reflect this approval in the Remarks section of the FFR. For grants that are not under expanded authorities, AHRQ written prior approval is required.

Revised FFRs representing additional expenditure claims by the grantee that were not included in the original FFR may be submitted via the eRA Commons with an explanation. This should be done as promptly as possible, but no later than 1 year from the due date of the original report. Any such revised report received after that date will not be accepted and will be rejected.

Revised FFRs resulting in a balance due to the Federal Government must be submitted to AHRQ whenever the overcharge is discovered, regardless of the lapse of time since the original due date of the FFR. For additional information, refer to the HHS Grants Policy Statement and to the Division of Payment Management website: http://www.dpm.psc.gov/grant_recipient/funding_requests/returning_funds.aspx?explorer.event=true.

After a grant has ended or been terminated, a final FFR must be submitted within 90 days of the end date of the project period. The final FFR must have no unliquidated obligations and must indicate the exact balance of unobligated funds. The expended funds reported on the FFR must exactly match the disbursements reported on the grantee's report to the Payment Management System.

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  Invention Reporting

PHS policy requires that all inventions made in the course of or under any PHS research grant be promptly and fully reported to HHS and, in any event, be reported prior to the publication of any description of the invention. An online system called "iEdison" has been developed to allow grantees to fulfill this requirement. Please refer to the iEdison Web site at https://s-edison.info.nih.gov/iEdison for additional information.

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  Final Reports/Closeout Requirements

HHS policy requires that a grant or cooperative agreement be "closed out" after the project ends. Documentation in the form of several "final reports" is required within 90 days of the end date of the project period.

Grant Closeout Requirements
Documents and submission requirements for grant closeout
Go to: http://www.ahrq.gov/funding/grants/process/closeout.html

Final Federal Financial Report (FFR; SF-425)
Form for submission of final expenditures reported
Go to: http://www.whitehouse.gov/sites/default/files/omb/assets/grants_forms/SF-425.pdf (108.18 KB)

Final Invention Statement and Certification
Inventions conceived and developed during project
Go to: http://grants.nih.gov/grants/hhs568.pdf (83.03 KB)

AHRQ Grant Final Progress Report Format
Instructions and structure for final report submission on project
Go to: http://www.ahrq.gov/funding/grants/process/reptemp.html

AHRQ Citation Style for Reference Lists
Format for citations on publications and electronic resources
Go to: http://www.ahrq.gov/funding/grants/tips-tools/refstyle.html

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 Frequently Asked Questions

For Frequently Asked Questions related to Grants Management, go to: https://info.ahrq.gov.

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Recognition for AHRQ-Funded Publications

To submit information to AHRQ on publication of your AHRQ-funded study, go to http://www.ahrq.gov/funding/grant-mgmt/recognition_ahrq-funded_study.html

 Grants Management Staff Contacts

Grants management staff welcome questions of an administrative nature. For active grant or cooperative agreement awards, questions should be directed to the grants management specialist listed on the Notice of Award (NOA).

Main Phone Number: (301) 427-1447
Fax Numbers: (301) 427-1462 or 427-1464

Grants Management Specialists

Questions of a programmatic nature should be directed to the project officer listed on the NOA. General programmatic questions should be directed to the appropriate program office.

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