Instructions for phs 398 and sf 424(R&R) Form Approved Through 08/31/2015




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5.3 Payment Schedule


Payments for SBIR/STTR grants awarded by NIH are made through the Division of Payment Management http://www.dpm.psc.gov/. Once an SBIR/STTR grant is awarded, the grantee will receive information and forms from the Payment Management System of the DHHS regarding requests for cash, manners of payment, and associated reporting requirements. Payment may be made on a cost-reimbursement or advance basis.

Applicant organizations are assigned a 12-digit Entity Identification Number for payment and accounting purposes. That number is an expansion of the 9-digit Employer Identification Number assigned to an organization by the Internal Revenue Service.

The Payment Management System http://www.dpm.psc.gov/Login.aspx is administered by the Program Support Center (PSC), DHHS. Requests for downloadable forms and inquiries regarding payments should be directed to:

Division of Payment Management



http://www.dpm.psc.gov/

P.O. Box 6021

Rockville, MD 20852

1-877-614-5533

Grantees may find additional information about the Payment Management System at the following Web sites:

http://grants.nih.gov/grants/documentindex.htm (Frequently Used Links)

http://grants.nih.gov/grants/funding/welcomewagon.htm#pmt (Payment Procedures)

NIH grantees are required to submit a quarterly Federal Cash Transaction Report (SF 272) to PMS.

DPM uses the automated PSC 272 as approved by OMB for Electronic Reporting.

5.4 Reports


Grantees are allowed a specified period of time in which to submit required financial and final progress reports (see 45 CFR 74.51 and 74.52, 92.40 and 92.41).

SBIR/STTR grantees must submit the following reports within 90 days of the end of the grant budget period unless the award is under an extension.



  • Federal Financial Report (FFR or SF-425/SF-425A, http://grants.nih.gov/grants/forms.htm)

  • Final Progress Report (see format below)

  • Final Invention Statement and Certification (HHS 568)

  • Annual Invention Utilization Reports

  • Phase II Data Collection Requirement for Government Tech-Net Database (http://technet.sba.gov)

Failure to submit complete, accurate, and timely reports may indicate the need for closer monitoring by NIH or may result in possible award delays or enforcement actions, and may affect future funding to the organization or awards with the same principal investigator.

Federal Financial Report (FFR) (OMB 425)


As stated in the NIH Grants Policy Statement, there are two types of financial data required of NIH grantees. Cash transaction data is submitted on a quarterly basis directly to PMS. Expenditure data is submitted directly to the NIH. Historically this data was submitted using two separate forms, the SF272 and the SF269. A new form, the SF425 called the Federal Financial Form (FFR), is now used for collecting both types of financial data. For NIH grantees, while the data is now submitted using the new form, there is no change in the actual receipt and processing of data. The cash transaction data elements of the FFR are submitted directly to and processed by PMS. The expenditure data elements of the FFR are submitted directly to and processed by NIH.

The FFR has a dedicated section to report Federal cash transaction data (receipts and disbursements). This information is submitted directly to the PMS using the web-based tool; quarterly reports are due 30 days the end of each calendar quarter. Questions concerning the requirements for this quarterly financial report should be directed to the PMS (http://www.dpm.psc.gov).

Expenditure data elements are reported to NIH as documentation of the financial status of grants according to the official accounting records of the grantee organization. Grantee institutions must register in the eRA Commons and submit the FFR electronically through the eRA Commons available at https://commons.era.nih.gov/commons/. To access the FFR module, be sure that at least one person (often the AOR) is assigned the FFR role in the Commons. Additional information on electronic submission of FFRs is available at the Commons Homepage or by contacting the eRA Help Desk at: commons@od.nih.gov or (866) 504-9552.

Prior to submitting FFRs to NIH, grantees must ensure that the information submitted is accurate, complete, and consistent with the grantee's accounting system. By clicking Submit on the Submit FFR Screen, the authorized institutional official on the FFR certifies that the information in the FFR is correct and complete and that all outlays and obligations are for the purposes set forth in grant documents, and represents a claim to the Federal Government. Filing a false claim may result in the imposition of civil or criminal penalties.

For awards under SNAP, reporting of expenditure data elements of the FFR is required within 90 days after the end of the competitive segment and must report on the cumulative support awarded for the entire segment. An FFR must be submitted at this time whether or not a competing renewal award is made. If no further award is made, this report will serve as the final FFR. The final FFR must indicate the exact balance of unobligated funds and may not reflect any unliquidated obligations.

For awards not under SNAP, reporting of expenditure data is required on an annual basis, for each budget period, no later than 90 days after the end of the calendar quarter in which the budget period ends. See the NIH FFR Supplemental Instructions at: http://grants.nih.gov/grants/ffr_supplemental_inst.doc.


Final Report Requirements


A Phase I Final Progress Report is required for all Phase II applications.

Final reports serve as an important source of material for staff of the awarding component in preparing annual reports, for planning purposes, and in communicating scientific accomplishments achieved through the SBIR/STTR program.

If a Phase I awardee does not intend to submit a Phase II application within four months of the Phase I project period end date, then an original and one copy of the Phase I Final Progress Report must be submitted to the Grants Management Office of the Awarding Component within 90 days of the expiration of the Phase I grant period. Otherwise, the Phase I Final Report is a required part of the Phase II application.

There is no “form page” for a Final Report. See the instructions for completion of the “Research Plan” regarding the presentation of the accomplishments of the Phase I effort. For the required elements and the format of the final report, see Section 3 of the Research Plan Component (5.4) of the SF424 (R&R) SBIR/STTR Application Guide.


Progress Reports as Part of Non-Competing Continuation Requests (All Applications with Multiple Years)


Progress reports usually are required annually as part of the non-competing continuation request or competing renewal application. However, NIH may require these reports more frequently. The information to be included in the progress report as part of a non-competing continuation request is specified in the PHS-2590 application instructions, which also include the alternate instructions for awards under Streamlined non-competing process (SNAP) (see "Administrative Requirements—Non-Competing Continuation Awards" of the NIH Grants Policy Statement).

Non-competing grant progress reports must be submitted directly to the awarding office. Grantees should routinely query and review the list of pending grant progress reports and due dates available at the NIH Web site (http://era.nih.gov/commons/quick_queries/index.cfm#progress). Late submission or receipt of an incomplete grant progress report will result in delaying the issuance and funding of the non-competing continuation award and may result in a reduced award amount.


Final Invention Statement and Certification (HHS 568)


The Bayh-Dole Act of 1980 (Public Law 96-517; 35 U.S.C. 200-212) and the related EO 12591 (April 10, 1987) provide incentives for the practical application of research supported through Federal funding agreements. To be able to retain rights and title to inventions made with Federal funds, so-called “subject” inventions, the grantee must comply with a series of regulations that ensure the timely transfer of the technology to the private sector, while protecting limited rights of the Federal government.

The regulations apply to any subject invention—defined as any invention either conceived or first actually reduced to practice in the performance of work under the Federal award—and to all types of recipients of Federal funding. This includes non-profit entities and small businesses or large businesses receiving funding through grants, cooperative agreements, or contracts as direct recipients of funds, or as consortium participants or subcontractors under those awards.

NIH grantees may retain intellectual property rights to subject inventions provided they do the following:


  • Report all subject inventions to NIH.

  • Make efforts to commercialize the subject invention through patent or licensing.

  • Formally acknowledge the Federal government’s support in all patents that arise from the subject invention.

  • Formally grant the Federal government a limited use license to the subject invention.

Grantees should refer to 37 CFR part 401 (available on the Interagency Edison site: https://s-edison.info.nih.gov/iEdison/) for a complete discussion of the regulations.

The grantee must submit a Final Invention Statement and Certification (HHS-568), whether or not an invention(s) results from work under the grant. Electronic submission is strongly encouraged. Grantee institutions registered in the NIH Commons should submit the Final Invention Statement electronically through the NIH Commons available at https://commons.era.nih.gov/commons/. Additional information on electronic submission is available at the Commons Homepage or by contacting the eRA Help Desk at: commons@od.nih.gov or (866) 504-9552.

The final invention statement/certification must be signed by the principal investigator and an authorized institutional official and must list all inventions that were conceived or first actually reduced to practice during the course of work under the project, from the original effective date of support through the date of expiration or termination, whether or not previously reported. If there were no inventions, the statement should indicate “None.”

IMPORTANT: All inventions made in the course of, or under, any NIH research grant, including SBIR/STTR awards, must be promptly and fully disclosed to NIH within 2 months after the inventor provides written disclosure to the grantee's authorized official. See http://www.iedison.gov.

The disclosure must be in writing. Identify the applicable grant and the name of the inventor(s), and provide a complete technical description and other information as required by 37 CFR 401.14(c)(1) (see “Administrative Requirements Availability of Research Results: Publications and Intellectual Property Rights, Including Unique Research Resources” for the full text of the clause).

In addition to immediate invention disclosure, each application for competing or non-competing continuation support of an NIH grant-supported research project must include either a listing of all inventions conceived or reduced to practice during the preceding budget period or a certification that no inventions were made during the applicable period.

However, if closeout documents are not submitted electronically, the Final Invention Statement (HHS 568) is available at: http://grants.nih.gov/grants/forms.htm. Paper copies of the final progress report and HHS 568 may be faxed or mailed to the NIH Central Closeout Center:

NIH Central Closeout Center

6705 Rockledge Drive, RM 2207, MSC 7987

Bethesda, MD 20892 (for regular or U.S. Postal Service Express mail)

Bethesda, MD 20817 (for other courier/express deliveries only)

Phone Number: 301/594-6584

Fax: 301/480-2304

E-mail: DeasCentralized@od.nih.gov

In addition to complying with Bayh-Dole-related regulations, each NIH competing grant application and non-competing progress report must indicate whether or not any subject inventions were made during the preceding budget period. If inventions were made, the grantee must also indicate whether they were reported.


Annual Utilization Report


The grantee must also submit an annual utilization report when the grantee has elected title to an invention or when royalties or licensing fees are generated for inventions that are not patented (research tools). The utilization report provides a way to evaluate the extent of commercialization of subject inventions, consistent with the objectives of the Bayh-Dole Act. Information from these reports is not made publicly available.

A summary of grantee/contractor invention responsibilities, which provides information on time limits placed by law and identifies specific invention reporting actions that must be taken, is provided at https://s-edison.info.nih.gov/iEdison/timeline.jsp.

A grantee’s failure to comply with invention reporting requirements may result in the loss of patent rights or a withholding of grant funds.


Phase II Data Collection Requirement for Government Tech-Net Database


The SBA maintains a ‘‘Technology Resources Access Network’’ (Tech-Net) Database System to track and report on statistics regarding the SBIR and the STTR programs.

Each small business concern applying for a Phase II award is required to update the appropriate information in the Tech-Net Database for any of its prior Phase II awards.

In meeting this requirement, the small business concern may apportion sales or additional investment information relating to more than one Phase II award among those awards, if it notes the apportionment for each award. Each Phase II awardee is required to update the appropriate information in the Tech-Net database on that award upon completion of the last deliverable (e.g., Final Report, Financial Status Report, Invention Report) under the funding agreement. In addition, the awardee is requested to voluntarily update the appropriate information on that award in the Tech-Net database annually thereafter for a minimum period of 5 years.



Questions about this requirement may be submitted to SBA directly through the Tech-Net URL. To register on and use the Tech-Net database system, visit the Web site http://technet.sba.gov. Online help is available. SBA will minimize the data reporting requirements of small business concerns, make updating available electronically, and provide standardized procedures.

Project commercialization and sales data can only be viewed by Congress, General Accounting Office (GAO), agencies participating in the SBIR/STTR programs, Office of Management and Budget (OMB), Office of Science and Technology Policy (OSTP), Office of Federal Procurement Policy (OFPP), and other authorized persons (for example, authorized contractors) who are subject to a use and nondisclosure agreement with the Federal Government covering the use of the database. Pursuant to 15 U.S.C. 638(k)(4), information provided to the Government Tech-Net Database is privileged and confidential and not subject to disclosure pursuant to 5 U.S.C. 552 (Government Organization and Employees); nor must it be considered to be publication for purposes of 35 U.S.C. 102 (a) or (b).

Examples of the data to be entered by applicants into Tech-Net include revenue from the sale of new products or services resulting from the research conducted under each Phase II award or additional investment from any source, other than Phase I or Phase II awards, to further the research and development conducted under each Phase II award.

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