IMPAC II GM Lead User’s Group
Closeout Working Group
Minutes from June 29, 2001 Meeting

The first meeting of the Grant Closeout System (GCS) working group took place on June 29, 2001 from 9:30 am to 11:30 am.

Working Group Objective: The purpose of the working group is to identify the grants management related requirements for an automated GCS that will be a part of IMPAC II.

Existing Closeout Systems: Group discussion revealed that there are three known automated grant closeout systems currently being used by grant management offices at NIH. A different system is in use at NCI, NIMH and NIGMS. The NIGMS system is also being used by NICHD and NIAMS. There may be other systems in use at other grants management offices, but they are not automated in the sense that they have little or no relation to IMPAC or IMPAC II data. These systems are stand-alone databases that require significant data entry. The working group will most likely look at all available closeout systems to identify useful features that may be built into an IMPAC II GCS.

Proactive Approach to grant closeout - The idea of starting the grant closeout process prior to the project period end date (90 days prior for example) was discussed. It was decided that this was a good idea even though grantees may extend the grant for up to one year or may request a no-cost extension. It is thought that such a letter might prompt grantees to notify grants management offices of no-cost extensions in a timely manner or submit no-cost extension request in a timely manner. Tim Twomey is going to look into having the 1^st closeout letter sent to SBIR grantees automatically. This letter will most likely not be a part of a Grant Closeout System.

Requirements for GCS:

The following is a list of requirements for an IMPAC II GCS:

• Monthly report of grants ending and eligible for closeout. The report will list the grant number (serial) and list or make available the status of competing continuation applications (Pending IRG review, NRFC, to be paid), priority scores and %tile ranking, and any other available information that will allow the user to make a determination regarding the need to start the closeout process. The report will also list or make available the other support of the Principal Investigator to allow the user to threaten withholding of funding as leverage in acquiring outstanding closeout documents*.

• Status designations for the closeout process will need to be added to IMPAC II (pending closeout, being closed, closed, administratively closed, NRC, IC destroyed)

• Generation of automatic e-mails that inform the grantee that closeout documentation is needed (+90, +120, and +150 after the PP end date). The e-mail will automatically show which closeout documents are outstanding. The e-mail will automatically be addressed to the P.I. and institutional business official. The e-mail will be standard in content, but will allow editing by the user prior to sending. The e-mail will be saved in electronic format and become a part of the grant folder. The e-mail may have an option to send as a fax via the NIH fax gateway.

• Data fields that will need to be added to IMPAC II include Final FSR Receipt (date), final invention statement receipt (date), final progress report receipt (date), P.O. review of final progress report (date), date grant closed, accession number, box number, date sent to NRC, anticipated destruction date, date destroyed, date grant reactivated, letter 1 sent (date), letter 2 sent (date), letter 3 sent (date), possible flag for applications that should not be destroyed (tobacco/smoking related applications).

• Ability to print accession/box lists.

• Additional reports needed include a never funded grant application report by council date, report showing status of grants in closeout status (includes letters sent, reports received, date grant terminated). Reports should allow sorting by P.I., Institution, etc.

• Special requirements to be identified for F series, T series and R25 grants.

NIMH Grant Closeout System:

Discussion took place regarding the current NIMH Grant Closeout System and the idea that it would be a good model for an IMPAC II GCS. Tim Twomey will investigate the possibility of obtaining the NIMH GCS and editing it for IMPAC II purposes.

Other items of interest:

A query is currently being set up on the IMPAC II Tool Page that will provide a monthly listing of grants eligible for closeout. This is an interim step in providing a GCS via IMPAC II.

*The idea of having IMPAC II automatically bar awards from payment that are to be paid if an investigator has outstanding closeout documentation was discussed. This may be discussed in greater detail in the future.