Information for the NIH Extramural Grantee Community During the Lapse of Federal Government Funding
Notice Number: NOT-OD-13-126
Key Dates
Release Date: October 1, 2013
Related Announcements
None
Issued by
National Institutes of Health (
NIH)
Purpose
The Government Fiscal Year (FY) 2013 ended on September 30, 2013 at
midnight EST and an Appropriation Act for FY2014 has not been passed
leading to a lapse in Federal funding. We are providing the following
information to answer questions you may have on the impact this lapse
in appropriation will have on your grant/cooperative agreement or the
availability of NIH’s systems and services.
RESUMING OPERATIONS
You are encouraged to stay tuned to the national media to determine
when the Federal Government will resume operations. Depending on the
length of the funding lapse, once NIH non-excepted staff are authorized
to resume operations it will take time for full operations to be
resumed. Depending on the length of the funding lapse, the eRA system
may require at least one business day after operations resume. We ask
for patience when trying to contact NIH staff once operations resume
since there will be a backlog of information to process.
CONTACT WITH NIH STAFF
E-mail, Phone, Fax, and Postal Mail Contacts: For the duration
of the funding lapse, NIH extramural employees will be prohibited from
working (remotely or in the office). Consequently, there will be no
access to voice mail, e-mail, fax, or postal mail during this period.
Mail requiring someone to sign/accept may not be received. All other
postal mail, fax, and voice mail communications will not be acted upon
until after operations resume. It is recommended that you delay sending
such communications until after operations resume.
Help Desk Support: For the duration of the funding lapse, all
help desks, central e-mail boxes, and web ticketing systems for
questions related to NIH grants policy and electronic grants systems
will not be available, including the eRA Helpdesk and Grants
Information Services.
In the event of an emergency
involving human safety, please contact Dr. Sally Rockey at
rockeysa@od.nih.gov.
SUBMISSION OF GRANT APPLICATIONS
For the duration of the funding lapse, applicants are strongly encouraged
not
to submit paper or electronic grant applications to NIH during the
period of the lapse. Adjustments to application submission dates that
occur during the funding lapse will be announced once operations
resume. For any applications submitted immediately prior to or during
the funding lapse, here is what will happen.
- For electronic submissions through Grants.gov: Grants.gov
will be open and can accept electronic applications. However,
applications will not be processed by NIH until the eRA Systems are back
on-line. NIH will ensure that all applications submitted within the
two business days before or during the funding lapse will receive the
full viewing window once the systems are back on-line.
- For electronic submission of multi-project applications through NIH’s ASSIST system: The ASISST system will not be available until NIH systems are back on-line.
- Paper Submissions: Staff will not be available to receive paper applications during a funding lapse.
The safest course is to wait to submit any application to NIH until
after operations resume and a Notice in the NIH Guide concerning
adjusted submission dates is posted.
PEER REVIEW AND COUNCIL MEETINGS
Initial Peer Review Meetings: For the duration of the funding
lapse, the NIH will not be able to conduct initial peer review meetings
– whether in-person or through teleconferences or other electronic
media. Also during this time, the NIH staff will not be able to send or
receive email messages, or update website information, and NIH
computer systems that support review functions will not be
operational. When operations resume, those meetings will be
re-scheduled and the pending applications will be processed and
reviewed as soon as possible.
Also, the results, including final impact scores and summary
statements, of some peer review meetings that took place prior to the
orderly shutdown of operations may not be available until operations
resume. Therefore, applicants with applications going through the peer
review process should stay tuned to the national news to determine
when operations of the government resume, and then check the NIH
website for information on any review meetings that may have been
extended or re-scheduled. The results of meetings held prior to a
potential funding lapse will be released as soon as possible after
resumption of operations.
Individuals who had agreed to serve on NIH review panels (”study
sections”) that were scheduled to meet during the funding lapse will
not be able to access the Internet Assisted Review (IAR) site or other
NIH web-based systems during that time. Reviewers who were scheduled to
travel for a review meeting on a day when operations are down will not
be able to board a plane or train, and will be sent instructions on
how to handle their reservations. Reviewers who are attending an NIH
review panel on the day of orderly shutdown will be able to change
their travel plans and return home. Therefore, peer reviewers should
stay tuned to the national news to determine when operations of the NIH
will resume, and then check the NIH website for information on
meetings that have been re-scheduled. As soon as possible after
operations resume, the NIH Scientific Review Officer in charge of the
review meeting will contact those reviewers with more detailed
information.
Advisory Council Review: The NIH will not be able to conduct
Advisory Council review meetings – whether in-person or through
teleconferences or other electronic media - during the funding lapse.
Also during this time, the NIH staff will not be able to send or
receive email messages, or update website information, and NIH computer
systems that support review functions will not be operational.
Therefore, no applications will be processed for Council review or be
taken to Council meetings during that time. When operations resume,
those pending applications will be processed, and meetings will be
re-scheduled as soon as possible.
Applicants with applications pending Council review during that time
should check the NIH website for information after operations resume.
Advisory Council members should stay tuned to the national news to
determine when operations of the government will resume, and then check
the NIH website for information on Council meetings that have been
re-scheduled. As soon as possible after operations resume, the NIH
Executive Secretary in charge of the Council meeting will contact those
Council members with more detailed information.
AWARDED GRANTS
Currently Active Grant Awards: For the duration of the funding
lapse, all work and activities performed under currently active NIH
grant awards may continue. However, see below for limits on performing
many of the reporting requirements associated with NIH grant funding.
Progress Reports:
- Electronically Submitted Progress Reports: For any
progress reports due during the funding lapse, the eRA Commons will not
be accessible. Users will need to wait until the eRA Commons is back
on-line before these progress reports can be submitted.
- Paper Submitted Progress Reports: No NIH staff will be
available to receive paper progress reports. Therefore, institutions
are encouraged to delay mailing all paper progress reports due during
the funding lapse until after operations resume.
Notice of Awards (NoAs): No NIH grant awards will be
processed for the duration of the funding lapse. For any awards
processed before the funding lapse that have an issue date during the
funding lapse, the awards will not be sent to the grantee on the issue
date. Once operations resume, all
pending NoAs will be sent.
This will not affect the start date nor the issue date of these awards;
it just affects the date the award document is actually sent to the
grantee and available for access in the eRA Commons. In the absence of
actually receiving the NoA, institutions may use pre-award costs
authority at their own risk.
No-cost Extension Notifications: The eRA Commons will not be
accessible during the funding lapse. Further, no-cost extension
notification cannot be submitted via the Commons once the expiration
date of the grant has passed. For any grants due to expire during the
funding lapse that plans to be given a no-cost extension, a paper
notification to the IC will be required after operations resume.
General Access to eRA Commons and Other OER-Supported Systems:
The eRA Commons will not be accessible during the funding lapse.
Therefore, no user will be able to access the Commons for viewing
electronically submitted applications, accessing Internet Assisted
Review, or processing such actions as Commons Registration, FSRs/FFRs,
xTrain documents, Closeout documents, and/or FCOI notifications etc.
Further there will be no ability to access Commons for query or other
purposes. There also will be no access to the Interagency Edison or
Electronic Council Books systems.
Prior Approval Requests and Other Communications: NIH
extramural employees will have no access to voice mail, e-mail, fax, or
postal mail during the funding lapse. All prior approval requests and
other communications will not be received until operations resume. It
is recommended that you delay sending such communications until after
operations resume.
Access to HHS Payment Management System (PMS): For the
duration of the funding lapse, the HHS PMS will be open; however, no
Federal staff will be available to assist or process any requests.
Therefore, drawdowns (payments) on accounts can be processed as long as
no Federal staff action is required to finalize the payment. For most
NIH grantees, this means drawdowns should be possible. However, if a
particular grant is on a reimbursement basis for withdrawing funds or
otherwise restricted, then these requests cannot not be processed until
after Federal Government operations resume.
ANIMAL WELFARE
The Office of Laboratory Animal Welfare (OLAW) business processes are
funded by annual appropriations and are not designated as excepted
activities under the Antideficiency Act. No activities associated with
the OLAW mission will continue for the duration of the funding lapse.
For the duration of the funding lapse, PHS-funded institutions are
encouraged to delay sending all Assurance documents, preliminary or
final reports of noncompliance or IACUC suspensions as required under
the Public Health Service Policy on Humane Care and Use of Laboratory
Animals IV.F.3, or other correspondence due to OLAW during the funding
hiatus period until after operations resume. OLAW will extend deadlines
for all reporting activities as necessary to compensate for the period
of the lapse in funding and the unavailability of the website and OLAW
operational support.
Institutions are reminded that their obligation under their Animal
Welfare Assurance to ensure ongoing local support and oversight, and to
address and correct all situations that affect animal welfare and
compliance with the PHS Policy continues during this period.
