1. Preparing and Submitting Reports Della Brown White, Ph.D. Program Officer, Office of Health Equity Eunice Kennedy Shriver National Institute of Child Health and Human Development (NICHD)

2. Overview Annual Progress Reports Federal Financial Reports Inventions Audits Final Reports

3. Progress Reporting for NIH Non-Competing Continuation Award Process – Streamlined Non-Competing Award Process (SNAP) – Non-SNAP See Notice of Award (NoA), under Section II: Terms and Conditions

4. Streamlined Non-Competing Award Process (SNAP) Modified annual progress report IRB and IACUC approval dates not required but available upon request No detailed budget information submitted, but report – Changes in Other Support of senior/key personnel – Significant changes in level of effort of senior/key personnel, including PD/PI – Anticipated unobligated balance greater than 25% current year’s total approved budget

5. Non-SNAP Progress Reports Serve as official requests for funding for next year Explain the grant’s progress, including detailed budget and other changes such as key personnel Current IRB and IACUC approvals are required

6. Progress Report Submission Streamlined Non-Competing Award Process (SNAP) – Awards with start dates of July 1, 2013, submitted through new Research Performance Progress Report (RPPR) module – RPPR located in the eRA Commons Non-SNAP – Currently still submitted via mail using PHS 2590 paper forms – Plans to move toward RPPR module submission – See Notice of Award for mailing address

7. Progress Report Due Dates SNAP Progress Reports – Due on the 15th of the month preceding the one in which the budget period ends – Grantee may delegate the authority to submit the progress report to the PD/PI Non-SNAP Progress Reports – Due two months prior to the anniversary date of the award (beginning of the next budget period) – Must be signed and submitted by institutional signing official

8. Key Components of SNAP Progress Report Cover page Accomplishments Products—publications, websites, inventions Participants—project personnel Impact on physical, institutional, or information resources Changes Special Reporting Requirements—human subjects enrollment, foreign components, unobligated balances RPPR Module

9. Key Components of Non-SNAP Progress Report Face page Detailed budget page Budget justification Progress report summary Checklist All personnel report Other support PHS 2590 Forms

10. A Word About Public Access All investigators funded by the NIH must submit to the National Library of Medicine’s PubMed Central an electronic version of their final, peer-reviewed manuscripts upon acceptance for publication Publications must be made publicly available no later than 12 months after the official date of publication

11. Assessment of Progress Program Officer: Reviews the progress report to make sure you have made sufficient progress to justify our continued funding of the project Grants Management Specialists: Perform an administrative and sometimes a fiscal evaluation of the progress report Submitted progress reports may require revisions and clarifications by program or grants management

12. SNAP: Progress Report Additional Materials (PRAM) PRAM: Allows the grantee to electronically enter, review, and submit information in response to specific requests(s) from NIH for additional materials following the submission of an RPPR Currently, PRAM use is voluntary, but NIH expects to mandate PRAM for resolving progress report issues

13. Progress Report: Ensuring Timely Submission Signing Official: Find a list of your institution’s progress reports in the eRA Commons Late Progress Reports May Result in Late and/or Possibly Reduced Awards

14. Federal Financial Reports Federal Financial Report (FFR): A statement of expenditures reported against funds awarded to a grantee institution FFRs provide an effective mechanism to account for grant funds FFRs can only be submitted electronically through the eRA Commons FFRs must be submitted in U.S. dollars and in English Grantees are to submit timely and accurate reports

15. Federal Financial Reports: Due Dates Foreign SNAP: FFR required only at the end of a competitive segment. – Must be submitted within 90 days after the end of the competitive segment – Must report on the cumulative support awarded for the entire segment Foreign Non-SNAP: Annual FFRs are due within 90 days of the end of the quarter in which their budget period end date falls.

16. Inventions Fully disclose invention to NIH, in writing, within two months after the inventor provides written disclosure to his/her institutional official Renewal applications and noncompeting renewal reports should include one of the following: – List of all inventions – Certification that no inventions were made Use NIH’s iEdison to comply with invention reporting requirementsiEdison

17. Audits Audit: Systematic review or appraisal made to determine whether internal accounting and other control systems provide reasonable assurance of the following: – Financial operations are properly conducted – Financial reports are timely, fair, and accurate – The entity has complied with applicable laws, regulations, and other grant terms – Resources are managed and used economically and efficiently – Desired results and objectives are being achieved effectively

18. Audits (cont.) You will need to arrange for an annual audit if your institution spends $500,000 or more of HHS award money per year. Institutions can pay for the audit using funds from the 8% F&A Foreign grantees can satisfy audit requirements with either of two audit types: – A financial-related audit. See the Government Auditing Standards (the “Yellow Book”).Government Auditing Standards – An audit that meets the requirements of OMB Circular A- 133.OMB Circular A- 133

19. Final Progress Report At a minimum, the final progress report should include: – Summary of progress made toward the achievement of the originally stated aims – List of significant results (positive or negative) – List of publications that provides NIH Manuscript Submission or PubMed Central reference numbers Enrollment data, inclusion of children, deliverables that can be shared (e.g., software, cell lines) Submitted via the eRA Commons or via mail (see Notice of Award for address)

20. Final Federal Financial Report A Final FFR is required for – Any grant that is terminated, – Any grant that is transferred to a new grantee, or – Any award, including awards under SNAP, that will not be extended through award of a new competitive segment. Final FFRs must indicate the exact balance of unobligated funds and may not reflect any unliquidated obligations Final FFRs must be submitted through eRA Commons

21. Final Federal Financial Report (cont.) SNAP: Covers the entire competitive segment or as much of the competitive segment as has been funded before termination Non-SNAP: Must cover the period of time since the previous FFR submission

22. Final Invention Report Must submit a Final Invention Statement and Certification (HHS 568)—regardless of whether there are any subject inventions to report – Submit even if inventions were previously reported – Submit even if there were no inventions List all inventions that were conceived or first actually reduced to practice during the course of work under the project Should cover the period from the original effective date of support through the date of expiration or termination of the award

23. Tips for Success When in doubt, ask questions – Program officer – Grants management specialists Create a plan for timely submission Follow available instructions and policies – NIH Grants Policy Statement – Notice of Award