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<< Part 7. Annual Progress Report · Training Index
Learning Points
- Reporting dates to remember.
- Filling out an Financial Status Report.
- Understanding unobligated funds.
- Submitting an FSR.
- How to report inventions.
- Preparing final reports.
- What to do for an audit.
- Keeping project records.
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Part 8. Other Reporting Requirements
This is Part 8 of the Grants Policy and Management
Training for Foreign Investigators.
Find details here on all the reports required by NIH and the U.S. government for NIH grantees.
Table of Contents
Reporting Requirements
| Track due dates of reports carefully. If you do not submit a report on time, we may reduce or discontinue funding. |
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Once a project is underway, the principal investigator (PI) and grantee must submit the following reports:
- Financial status reports.
- Invention reports.
- Progress reports.
- Annual
reports on possible research misconduct.
You may also be subject to audit requirements.
Make sure you know all of your due dates. You won't get warnings or reminders. If NIAID contacts you about missing information, respond as quickly as possible. The principal investigator also needs to keep track of when the business office needs information and check that the business office has sent it to us.
PIs play a large role in preparing the reports,
though they don't actually submit them. The PI gives information
to the business office so it can send the reports.
Dates to Remember
Know your due dates.
If your submission is late or incomplete, you will not get an award or may get a reduced amount depending on the information missing.
Financial Status Reports
| FSRs are due within 90 days after the close of each budget period. |
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What Is a Financial Status Report?
Grantees must report their expenditures to NIH in a Financial Status Report (FSR). Your FSR shows your expenditures and the status of your funds for each budget period. It covers the last award and includes any supplemental awards or revisions.
Deadline for Submitting FSRs
Be on time! FSRs are due within 90 days after the close of each budget period. If your report is not up-to-date, NIH will withhold your funds. Your failure to submit a timely and accurate FSR may also affect your future funding from us.
Submit the FSR electronically through the eRA Commons.
Terms to Know
- Unliquidated obligation --
Expenses agreed to but not paid for by the end of a budget period.
In the financial status report for a final budget period, unliquidated obligations must be zero.
- Unobligated balance -- Funds not used by the completion of a grant's project period. Grantees must report unobligated balances over 25 percent of total costs to the grants management specialist.
- Offset --
Use of the unspent portion of a current year's budget to fund a future budget period.
- Carryover -- Ability of grantees to use grant funds from one budget period in the next one without prior approval from NIAID.
Additional Resources
Invention
Reporting Has Four Parts
NIH requires grantees to report inventions resulting from the grant. There are four reporting requirements:
- Fully disclose an invention to us in writing within two months
after the inventor provides written disclosure to your institutional official.
- Provide
the grant, name of the inventor, and a
complete technical description.
- Your business office sends this information through iEdison.
- When applying for a renewal or noncompeting support of your grant, include either of the following:
- A list of all inventions conceived or brought to practice during
the preceding budget period.
- Certification that no inventions
were made during the period.
- You also must submit an annual Utilization Report when you've been granted a patent to an invention or begin to receive royalties or
licensing fees from inventions that are not patented. Use NIH's iEdison to comply
with reporting requirements.
- At the close of the project, submit a final invention statement and certification, HHS
568. For more information, see Prepare Final Reports
at Award End below.
Find more information online:
Annual Progress Report
For information on progress reports, see Part 7. Annual Progress Report.
Prepare Final Reports
at Award End
| The business official has 90 days after the end of the grant
to complete these forms. |
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At the end of your grant, the institutional business official submits three closeout reports to NIAID:
The business official has 90 days after the end of the grant
to complete these final forms. We do not send reminders to submit these reports until they are already late. As we said before, if you fail to submit your final reports on time, it may affect future funding for your institution. For closeout requirements, see the NIH
Grants Policy Statement on Closeout.
Your final financial status report should indicate the exact balance of unobligated funds.
If you apply for a renewal, you do not need to submit a final progress report since you documented the progress of the research in the renewal application.
Your final progress report helps NIAID staff evaluate your research and should include the following:
- Complete heading with the grant number,
PI, grantee institution, project title,
and date of the entire period of the grant (include any authorized
extension of the final budget period).
- Statement of progress made toward your Specific Aims. List the results, positive or negative, direct
or indirect, and those considered to be significant.
When possible, tie these results to the report's publication
list.
- List of publications originating from the grant and those already in print, in press, or planned as a result
of your grant.
- Cite PubMed Central identification numbers (PMC ID) for each new publication.
- Also be aware that the PI must submit to PubMed Central an electronic version of any final peer-reviewed manuscript accepted for publication that resulted from the award.
- For more information, see the Public Access of Publications SOP. The SOP covers submission and citation requirements, reimbursement of publication costs, and what to do if a PMC ID is not ready.
- Sharing of research resources. If your application had a sharing plan, your program officer will assess how you followed your plan, so be sure to include the number
of requests received and fulfilled. See Sharing Resources under New NIH Policies Not in the Grants Policy Statement in Part 5. Compliance.
- Description of data, research materials, and other information resulting from research and how they may be shared with other investigators. See the Data Sharing for Grants: Final Research Data SOP and Data
Sharing for Grants: Genome-Wide Association Studies SOP, which include information on removing individual identifiers and when data sharing should begin.
- For human subjects, report on the inclusion of gender and minority study subjects using the progress report's Inclusion Enrollment Report. If children were involved, indicate how the study was relevant for them.
Submit Final Reports -- Electronic
Your Financial Status Report is due within 90 days of the end of the grant's budget period; the institutional business official must submit it electronically through the eRA Commons.
Submit Final Reports -- Paper
Your organization's business office sends the final progress report and invention report to the following address:
NIH Centralized Processing Center
6705 Rockledge Drive
RM 2207, MSC 7987
Bethesda, MD 20892 (Use this ZIP code for the U.S. Postal Service, including express mail.)
Bethesda, MD 20817 (Use this ZIP code for commercial carriers such as FedEx and UPS.)
U.S.
E-mail: DeasCentralized@od.nih.gov
Fax: +1-301-480-2304
Go to Reporting Requirements in the Checklist for Part 11a. Managing Your Grant.
Meeting Your
Audit Requirements
| While the auditing organization is your choice, the audit must meet our standards. |
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You will need to arrange for an annual audit if your institution spends $500,000 or more
a year of federal grant money. You can use a public accountant or a federal, state, or local governmental audit organization.
While the auditing organization is your choice, the audit must meet our standards. The Federal Audit Clearinghouse will reject substandard or incomplete audits.
Foreign grantees can satisfy
audit requirements with either of
two audit types:
The institution should submit audit reports using the Federal Audit Clearinghouse’s Internet Data Entry System.
Grantees usually
have 30 days after the receipt of the auditor's report or nine months after the end of the organization's fiscal year, whichever comes first, to respond
to
audit findings.
Find more information online:
Keep Your Records
Accessible
| Keep records accessible for three years after the
grant ends. |
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Your institution must keep its project records accessible for three years after the
grant ends. If an issue arises, we may need to verify your records,
which must include all data and fiscal information.
For details,
read Retention and Access Requirements for Records, 45 CFR Part 74.53.
Keep in mind that other people can gain access to information
concerning a grant through a Freedom
of Information Act request. If other scientists formally request nonproprietary
information from a grant or application, our FOIA office
will provide it.
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