NIH Closeout Requirements and Process

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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
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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

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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!

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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.

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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)

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Close Out
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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

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FSR Search Screen
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FSR Hit List
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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)

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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

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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

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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.

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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

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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

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Questions?

• Kathy Hancock, NIH
• 301.435.1962
• kh47d_at_nih.gov