NIH Guidance Document


General Terms and Conditions


Financial Conflict of Interest FCOI: Annual FCOI Compliance clearance is required during the performance period of NIH awards.  If we do not have current clearance it will delay processing of the award documents.  To update please email

 NIH Salary Cap: The funds in this award shall not be used to pay the salary of an individual at a rate in excess of Executive Level II. See Fact Sheet.

Collaborative Research Grant Agreements: NIH Multi PI Policy NOT-OD-06-054 applies to collaborative research grant agreements.  PI certification and assurance document(s) must be maintained for key person named in the NoA.  Prior notice is required if this key person will no longer be assigned to this roll.

NIH Continued Resolution Impact on Subaward Agreements: NIH budget reduction on award requires the following information and documents be submitted to your grant administrator before issuing subaward(s):

  • PI specified funding level for subcontract(s)
  • Scope of Work
  • Budget
  • PHS checklist (Indirect cost document)

Current/active DHHS Negotiated F&A Rate document from the subcontractor for the period of performance

Graduate Student Compensation Compliance: NIH has a maximum allowable cost for graduate students (see NOT-OD-02-017) see link

Multi PI Award MOU Leadership Plan: The first PI listed in the grant is the contact PI and responsible for communication between NIH and the rest of the leadership team.  NOTE: being named contact PI does not imply any particular roll with in the leadership team.

The principal Investigators are equally responsible for the leading and directing the project.  All Principal Investigators are responsible for accepting the terms and conditions of the grant or contract. A signed MOU must be submitted to OPAM before the award can be processed and sent to the Controller’s office to set up the accounts.  The Leadership Plan proposed to NIH is in effect and governs PI responsibility contained in the signed MOU document and remains in effect throughout the entire project unless superseded by a revised MOU.


PubMed Central: In accordance with P.L. 110-161 compliance with NIH Public Access Policy is now Mandatory (NOT-OD-08-033) for more information, (see NOT-OD-08-033 and the Public Access website:http://publicaccess.  PubMed Central (PMC) is the NIH digital archive of full-text, peer-reviewed journal articles.  Its content is publicly accessible and integrated with other databases (see: http://

Grant renewals with annual Progress Reports are submitted thru OPAM along with an IPF form; 45 days prior to the end of the current budget period.

Awards in the Final Year of the Competitive Cycle - award which represents the final year of the competitive segment for the grant.  Unless a NCE is requested & approved NIH closeout procedures will be required.

Close out procedures; reports are due 90 days after the grant end date.

  • PI submits Final Progress Report Via Commons
  • PI submits Final Invention report Vis Commons (OPAM will authorize via Commons after submitted)
  • Controller’s office submits SF425 financial report via Commons

Access to Commons:

No Cost Extensions (NCE)

First – UMass can approve the first NCE (of up to 12 Months) under expanded authority.  Requests for extensions must be submitted to OPAM at ) at least 15 days prior to the current grant end date.  Please include the specific revised end date, a justification for the extension and reference the current GAID number in the subject line of your request.

Second and subsequent - no cost extensions require approval from NIH and should be submitted at least 45 days prior to the current grant end date to OPAM at and include.  A letter of request, addressed to your program officer, should be signed by the PI and include the following:

  • Include the Sponsor Award # and UMASS GAID # on the letter
  • A specific revised end date
  • A summary of progress to date and a justification as to why additional time is needed
  • An estimate of funds expected to remain unobligated on the current termination date
  • A projected timetable to complete the portions of the project for which the extension is being requested.  

Budget Revisions

Requiring NIH approval: The PI should prepare a letter of request with supporting documentation and submit to OPAM at who will review and forward to NIH as appropriate.  If questions, please contact your award administrator for further guidance.

  • Rebudgeting of amounts previously awarded for trainee costs (stipends, tuition, and fees) to other categories of expense
  • Funds budgeted under an NIH Career Development K Award grant for an individual's salary and fringe benefits, may not be used for any other purpose without NIH prior approval.
  • Changes resulting from change in the scope of the project
  • Addition of a subcontract
  • Changes resulting from a significant change in the level of effort for the PI/Co-PI’s

Other budget revisions: Normally do not require NIH approval but may require a justification for the record.  Contact your grant accountant for further guidance.

Carry Forward

Each award will include a term and condition to indicate the disposition of unobligated balances and will state whether or not funds can be automatically carried forward from one year of funding into the next.

Prior Approval Actions/Requests

The following require the prior approval of NIH.  The PI should prepare a letter of request with supporting documentation and submit to OPAM at who will review and forward to NIH as appropriate.  If you have questions, please contact your award administrator for further guidance.

  • PI Transfer
  • Change in status of PI/Co-PI or key personnel:
    • Withdrawal
    • Reduction in level of effort of 25% or more from what was approved in the award
    • Absence from the project for any continuous period of 3 months or more.  This approval must be sought in all cases including sabbatical, maternity/paternity leave, medical leave, etc., even if the PI/Co-PI, Key Personnel intends to keep in communication with the project.  Part of that approval is how the project will run while the personnel are away.
  • Addition of subcontract
  • NIH approved no cost extension (2nd extension or late request for 1st extension)
  • Change in objectives or scope
  • Pre-award costs in excess of 90 days
  • Rebudgeting from Trainee costs
  • Change of IRB protocols or Vertebrate animals from approved proposal

Grantee Notification Types

PI prepares notification /request document, submits to OPAM at  and OPAM notifies NIH as appropriate.

  • 1st no cost extension under expanded authority
  • Significant rebudgeting of award funds
  • Short term absence of PI (up to 3 months)