CLOSEOUT REPORTS REQUIRED FOR NIH ASSISTANCE AWARDS

Release Date:  August 10, 1999

P.T.

Purpose

This Guide Announcement is issued to remind grantees of their obligation to 
provide the Federal Government all financial, performance, and other reports 
as required by the terms and conditions of the assistance awards.   It is 
important that all closeout documents be submitted on time to help in the 
scientific planning and evaluation of programs and to ensure that the 
interests of the Government have been adequately protected. 

Policy

NIH recipients shall submit within 90 calendar days after the last day of the 
final budget period the following three final reports:

1. The final Financial Status Report (FSR) - (Standard Form 269)

Grantees are instructed to submit a hardcopy or an electronic final FSR 
directly to the Office of Financial Management (OFM), NIH.  This report 
must indicate the exact balance of unobligated funds and may not reflect any 
unliquidated obligations. 

2. The Final Invention Statement & Certification (HHS Form 568)  

This statement must list all inventions conceived or reduced to practice 
during the course of work under the project from the start date of the first 
budget period through the last day of the final budget period, whether or not 
previously reported.   This form is available from the following url:  
http://grants.nih.gov/grants/forms.htm 

For certain mechanisms (C06, R13, R25, S15, Ts, and Fs), the Final 
Invention Statement is not required.   In general, training and educational 
mechanisms do not require invention reporting. 

3. The Final Progress Report 

This report should be prepared in accordance with instructions provided by 
the awarding component. At a minimum, it should include a statement of 
progress made toward the achievement of originally stated aims, a list of 
results (positive or negative) considered significant, and 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 accompany the progress report.

Failure to submit timely final reports may affect future funding to the 
organization.

INQUIRIES

Further information regarding the requirement for final closeout documents 
can be found in the Closeout section of the NIH Grants Policy Statement, 
Part II, “Terms and Conditions of NIH Grant Awards” (see url:  
http://grants.nih.gov/grants/policy/nihgps/).  Questions regarding this policy
may be directed to the Grants Management Specialist identified on the Notice of 
Grant Award.


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