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Once a sponsored project is approaching its end date, there are certain options and procedures that will help bring the project to an orderly and successful completion. These procedures are listed below. No routing form is needed to close a project.
1. Review the budget for funds available.
- If the amount remaining will be enough to cover completion of the project, and the project is scheduled to be completed on time, proceed as planned.
- If the amount remaining is adequate, but the time remaining is not, a no-cost extension may be an available option. Please contact Grants Management to help you proceed with this end date extension.
- If the amount remaining is not adequate, or if particular budget line items require adjustment, please contact Grants Management to clarify the necessary procedures.
- If the amount remaining is substantial, and it appears that you will have a significant balance at the end of the project, please contact Grants Management to clarify the necessary procedures.
2. If you are awaiting a no-cost extension or next year’s award notice, please contact Grants Management to complete a memo requesting that this project be switched to a “temporary” project until the receipt of the no-cost extension or award notice.
3. Process payroll revision forms to transfer salary appointments to alternative sources of funding.
4. Make sure that the UND Postal Services and Telecommunications offices have been notified of an alternative source of funding.
5. Submit purchase requisitions in order for them to be processed prior to the project termination date.
6. Review all outstanding orders. If there are potential problems regarding delivery, payment, or acceptance of the items, please contact Grants Management.
7. Review any outstanding encumbrances to make sure they are paid in full or returned to available budget for final payment of any other outstanding expenses.
8. Review all Subcontracts to finalize payment within deadlines.
9. If cost share is required for your project, review the cost share commitments to ensure that the required obligation will be met.
In order to help departments with project close out, Grants Management periodically reviews sponsored projects at the SMHS to identify which projects are approaching their end dates. Once these projects have been identified, an e-mail is sent out to the Department Administrator of those projects with an end date approaching. This e-mail notifies the department that they have a project which is ending, as well as referencing this website for procedures to bring this project to a successful completion.
Project Closeout - NIH Project
NIH will close out a grant as soon as possible after expiration if the grant will not be extended or after termination as provided in NIH regulations. Closeout includes ensuring timely submission of all required reports and adjustments for amounts due the grantee or NIH. Closeout of a grant does not automatically cancel any requirements for property accountability, record retention, or financial accountability. Following closeout, the grantee remains obligated to return funds due as a result of later refunds, corrections, or other transactions, and the Federal government may recover amounts based on the results of an audit covering any part of the period of grant support.
Unless the GMO grants an extension, grantees must submit a final FSR, final progress report, and Final Invention Statement and Certification within 90 days of the end of grant support. Failure to submit timely and accurate final reports may affect future funding to the organization or awards with the same PI.
Final Financial Status Report
A final FSR is required for:
- any grant that is terminated,
- any grant that is transferred to a new grantee, or
- any award, including awards under SNAP, which will not be extended through award of a new competitive segment.
The final FSR must cover the period of time since the previous FSR submission or, for awards under SNAP, the entire competitive segment or as much of the competitive segment as has been funded before termination. Final FSRs must have no unliquidated obligations and must indicate the exact balance of unobligated funds. Unobligated funds must be returned to NIH or must be reflected by an appropriate accounting adjustment in accordance with instructions from the GMO or from the payment office. For those organizations receiving their funds through PMS, final reports, as specified by PMS, must be submitted to that office. It is the grantee’s responsibility to reconcile reports submitted to PMS and to the NIH awarding office. Withdrawal of the unobligated balance following expiration or termination of a grant is not considered an adverse action and is not subject to appeal (see “Administrative Requirements—Enforcement Actions—Recovery of Funds”).
When the submission of a revised final FSR results in additional claims by the grantee, NIH will consider the approval of such claims subject to the following minimum criteria:
- The grantee must indicate why the revision is necessary and explain and implement internal controls that will preclude similar occurrences in the future.
- The charge must represent otherwise allowable costs under the provisions of the grant.
- There must be an unobligated balance for the budget period sufficient to cover the claim.
- The funds must still be available for use.
- NIH must receive the revised FSR within 15 months of its original due date.
Final Progress Report
A final progress report is required for any grant that has ended or terminated and any award that will not be extended through award of a new competitive segment. The final progress report should include a summary of progress toward the achievement of the originally stated aims, a list of significant results (positive or negative), and a list of publications. The final progress report also should address the following:
- Report on the inclusion of gender and minority study subjects (using the gender and minority inclusion table as provided in the PHS 2590)
- Where appropriate, indicate whether children were involved in the study or how the study was relevant for conditions affecting children (see “Public Policy Requirements and Objectives—Requirements for Inclusiveness in Research Design—Inclusion of Children as Subjects in Clinical Research” and the PHS 398)
- Describe any data, research materials (such as cell lines, DNA probes, animal models), protocols, software, or other information resulting from the research that is available to be shared with other investigators and how it may be accessed.
An original and one copy of this report should be submitted to the GMO.
Final Invention Statement and Certification
The grantee must submit a Final Invention Statement and Certification (HHS 568), whether or not the funded project results in any subject inventions. The HHS 568 must list all inventions that were conceived or first actually reduced to practice during the course of work under the project, and it must be signed by the PI and an AOO. The completed form should cover the period from the original effective date of support through the date of expiration or termination or the award, and it should be submitted to the NIH awarding office. If there were no inventions, the form should indicate “None.” Copies of the HHS 568 form are available on the iEdison website at https://s-edison.info.nih.gov/iEdison/.
Many times these reports may be submitted electronically via the eRA Commons website.