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<< Part 7. Annual Progress Report · Training Index

Learning Points

  • Reporting dates to remember.
  • Filling out a Federal Financial Report.
  • Understanding unobligated funds.
  • Submitting an FFR.
  • How to report inventions.
  • Preparing final reports.
  • What to do for an audit.
  • Keeping project records.

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.
Once a project is underway, the principal investigator (PI) and grantee must submit the following reports:
  • Financial reports.
  • Invention reports.
  • Progress reports.
  • Annual reports on possible research misconduct.

You may also be subject to audit requirements, and your institution may have to report executive compensation and subaward information to NIH.

Make sure you know all of your due dates since you won't get warnings or reminders. If NIAID contacts you about missing information, respond as quickly as possible. The PI 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.

Application or Form Due Date
Federal Financial Report

Send to NIH within 90 days after the end of the calendar quarter in which your budget period ends. Also send one final report within 90 days after end of the project period.

For a table that tells you when to send this report, go to Know When to Submit Financial Reports in the Strategy for NIH Funding.

Invention Report Submit final report to iEdison within 90 days after end of the grant period. See Invention Reporting Has Four Parts below.
Progress Report (PHS 2590)

Send to NIH 60 days before the end of the budget period. See Part 7. Annual Progress Report.

Federalwide Assurance Renew every three years with the Office of Human Research Protections.
Animal Welfare Assurance

For foreign grants, renew at the end of the project period (usually five years) with the Office of Laboratory Animal Welfare.

IRB approval Send institutional review board approval to NIAID annually.
Research Misconduct Certification Send an Annual Report on Possible Research Misconduct to the Office of Research Integrity. Go to Assurance—Introduction for more information.

Federal Financial Report

FFRs are due within 90 days after the end of the calendar quarter in which your budget period ends.

What Is a Federal Financial Report?

Grantees must report their expenditures to NIH in a Federal Financial Report (FFR). Your FFR shows your expenditures and the status of your funds, including any supplemental awards or revisions.

Note: Due to a change in payment method for foreign awards made in fiscal year 2013, NIH is considering the annual FFR for awards starting in FY 2012 as the final FFR. For details, read the August 12, 2012, Guide notice.

For initial awards made after October 1, 2012, grantees should use the currency rate that's in effect when funds are issued from the Payment Management System. For more on PMS, see Part 6. Receiving and Spending Money.

Deadline for Submitting FFRs

Be on time! FFRs are due within 90 days after the end of the calendar quarter in which your budget period ends. If your report is not up to date, NIH will withhold your funds. Your failure to submit a timely and accurate report may also affect your future funding from us.

Submit the FFR 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 final financial report, 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

Report any inventions made during a grant. Use NIH's iEdison to comply with some invention reporting requirements.
NIH requires grantees to report inventions resulting from the grant. There are four reporting requirements:
  1. 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.
  2. 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.
  3. 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.
  4. 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.
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 Federal Financial 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 and Invention Statements—Electronic

Your final Federal Financial Report is due within 90 days after the end of the grant's budget period; the institutional business official must submit it electronically through the eRA Commons.

NIH strongly encourages electronic submission of the final progress report and final invention statement through the Closeout feature in the Commons.

You may email your final progress report and final invention statement as PDF attachments to the NIH Central Closeout Center at DeasCentralized@od.nih.gov.

Submit Final Reports and Invention Statements—Paper

If you choose to submit paper reports, you can find PHS 2590 and HHS 568 at NIH Forms and Applications.

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 20892-7987 (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.

Or your organization's business office can fax the completed forms to +1-301-480-2304.

Meeting Your Audit Requirements

While the auditing organization is your choice, the audit must meet our standards.

You will need to arrange for an annual audit if your institution spends $500,000 or more a year of HHS award 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:

Foreign organizations should submit their audit reports to:

National External Audit Review Center
HHS Office of Inspector General
HHS Office of Audit Services
1100 Walnut Street, Suite 850
Kansas City, MO 64106-2197
U.S.

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.

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.

<< Part 7. Annual Progress Report · Training Index

Last Updated August 13, 2014

Last Reviewed August 13, 2014