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NIH Closeout Requirements and Process

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Title: NIH Closeout Requirements and Process


1
NIH Closeout Requirements and Process
Office of Extramural Research
M17
Kathy HancockAssistant Grants Compliance
Officer,Division of Grants Compliance and
Oversight, Office of Policy for Extramural
Research AdministrationNational Institutes of
HealthDepartment of Health and Human Services
2
NIH Closeout Requirements
  • NIH Grants Policy Statement
  • Closeout requirements
  • http//grants.nih.gov/grants/policy/nihgps_2003/NI
    HGPS_Part8.htm_Toc54600151
  • Notice of Award
  • Final year term of award included in NoA

3
Closeout Final Reports
  • Grantees are strongly encouraged to submit
    closeout documents electronically through the eRA
    Commons!
  • http//grants2.nih.gov/grants/guide/notice-files/N
    OT-OD-05-051.html
  • Documents are due within 90 days of project
  • period end date
  • Final Financial Status Report (FSR)
  • Final Inventions Statement Certification
  • Final Progress Report
  • Failure to submit timely reports may affect
    future funding to the organization!

4
Closeout Feature inNIH Commons
  • Capability to electronically submit required
    Closeout documents for applications in Closeout
    status
  • NIH staff must mark the grant ready for close
    out before the link appears in Commons (contact
    assigned specialist if records are not appearing)
  • Commons-registered grantee institutions may query
    in the Commons Status system those grants that
    are in a closeout status.

5
Closeout Feature inNIH Commons
  • Users enter closeout screens to electronically
    process and submit required reports.
  • Each report can be submitted independently.
  • Closeout not complete until all reports have been
    submitted.
  • Emails are sent to the authorized organizational
    representative (reminder overdue notifications)

6
Close Out
7
Financial Status Report
  • Submitting FSRs through the eRA Commons is
    encouraged
  • Must have the Commons FSR role
  • Users directed to the eRA Commons FSR system
  • FSRs can be searched by individual grant number,
    all FSRs for the institution, or by the status of
    the FSR
  • Submitting FSRs through mail to the Office of
    Financial Management (OFM), NIH
  • SF 269 (Long Form)
  • SF 269A (Short Form)
  • OFMs address http//ofm.od.nih.gov/pubs/fsrfaq.p
    df
  • Forms available at http//grants1.nih.gov/grants/
    forms.htm

8
FSR Search Screen
9
FSR Hit List
10
Final Invention Statement
  • Required whether or not the funded project
    results in any subject inventions, and whether or
    not inventions were previously reported
  • List all inventions that were conceived or first
    actually reduced to practice during the course of
    work under the project
  • Must be signed or verified by the PI and an
    Authorized Organizational Representative
  • Completed form must cover the period from the
    original effective date of support through the
    date of expiration or termination of the award
  • Not required for certain mechanisms (C06, UC6,
    R13, R25, S15, Ts, and Fs)

11
Final Invention Statement
  • Submitting through the eRA Commons
  • Requires verification by both the Signing
    Official and the PI of the Grant
  • Submitting directly to awarding component
  • Final Invention Statement (HHS Form 568)
  • Only the original is required

12
Final Progress Report
  • Final Progress Report required for any grant that
    has ended and any grant that will not be extended
    through award of a new competitive segment
    (renewal).
  • Prepare report in accordance with instructions by
    the NIH awarding component.
  • Final Progress Report is sent as a Word document
    in the eRA Commons.
  • Either the PI or Signing Official can authorize
    submission of the Final Progress Report

13
Final Progress Report
  • At a minimum, it should include the following
  • A statement of progress made toward the
    achievement of originally stated aims
  • A list of results (positive or negative)
    considered significant
  • A list of publications resulting from the
    project, with plans, if any, for further
    publication.
  • A copy of reprints or publications not previously
    submitted should be submitted
  • PubMed Central identification number in lieu of
    submitting a hard copy.

14
Final Progress Report
  • At a minimum, it should address the following
  • Report on the inclusion of gender and minority
    study subjects (using the gender and minority
    inclusion table as provided in PHS 2590)
  • Where appropriate, indicate whether children were
    involved in the study or how the study was
    relevant for conditions affecting children
  • Describe any data, research materials, protocols,
    software, or other information resulting from the
    research that is available to be shared or
    accessed

15
Reminders
  • Closeout documents due within 90 days of project
    period end date
  • NIH encourages the submission of documents
    through the eRA Commons
  • Compliance with NIH closeout requirements is
    critical in avoiding the possibility of delays in
    future funding

16
Questions?
  • Kathy Hancock, NIH
  • 301.435.1962
  • kh47d_at_nih.gov
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