Closing the Award
When a sponsored project ends, certain administrative actions are required to ensure an orderly and formal closing of the award. Specific reporting and deliverable requirements are typically set forth in the sponsor's award documents, or in policies or documents incorporated by reference. Both the award documents and the UCSB Award Synopsis will identify the specific reporting requirements or provide reference to the specific requirements for closeout reporting. The University has an obligation to close all sponsored projects and to submit any required final reports in a manner consistent with the terms and conditions of the award. The necessary closing procedures may vary, depending on the policies of the sponsor, whether the support was in the form of a grant, cooperative agreement or contract and the specific terms and conditions of the award. It is important to meet all the closeout requirements of an award, and it is important to do so in the timeframe stipulated by the sponsor. Some sponsors may require that certain final reports be signed by an Authorized Official of the University. In these cases, the report should be sent to the Sponsored Projects Assistant/Closeouts to coordinate institutional signature.
Final Technical Reports
Most awards require submission of a final report of work accomplished during the period of performance of the project. Such reports range from a brief summary and list of publications to a full narrative compilation of the project and its results.
The Principal Investigator is responsible for the submission of all technical reports required under the terms of an award, as well as other agreed-upon deliverables such as graphs or software. The Principal Investigator should clearly mark and identify as “proprietary" any information in a report or any deliverable submitted to a sponsor that should be treated as confidential or proprietary.
Sponsored Projects does not require a full copy of the final technical report, but does require a copy of the transmittal and the first couple of pages of the report to document its submission. This can be sent to Sponsored Projects in either electronic or paper form in any of the following manners:
- Send an e-mail to closeout@research.ucsb.edu providing the date and manner of submission, and attach a copy of at least the first few pages of the report; or
- Deliver a copy of the report to Sponsored Projects with an Office of Research-Sponsored Projects Information Sheet. Please address the Information Sheet to the Sponsored Projects Assistant/Closeouts and include the submission information on the Sheet; or
- Provide the Sponsored Projects Assistant/Closeouts with a weblink to the report if it is available online. If the submission date is not readily apparent on the website, please provide that also.
Final Reports of Patents and Inventions
Some sponsors require reports about patents and inventions made during the conduct of a sponsored project. Usually such declarations are made via a preprinted form and are required even if the report is negative.
Please note that if a patentable idea, invention or discovery is made as a result of a sponsored project, the disclosure of such must be made through the Office of Technology & Industry Alliances within a specified time or the University may lose its rights to the invention. The Principal Investigator should contact the Office of Technology & Industry Alliances as soon as it is practical to discuss the disclosure, to avoid premature public disclosure, and if appropriate, to start the patent process.
See http://www.research.ucsb.edu/tech_transfer/patents.shtml
for more information.
Sponsor-specific Requirements:
- Department of Defense Agency Awards:
For contract and grant awards from a Department of Defense agency, where a Final Invention Report is required, the DD Form 882 must be used for submission of the report. The DD Form 882 can be located at the following link:
http://www.dtic.mil/whs/directives/infomgt/forms/eforms/dd0882.pdf
The Form should be completed in accordance with the associated instructions, and please specifically note the following:
- In Block 7, the box for “Non-profit Organization” should be checked, and the Form does not require the prescribed certification or signature.
The Form should be submitted by the PI and/or department directly to the agency in accordance with the requirements of the award.
If the DD Form 882 is submitted by e-mail, the Sponsored Projects Assistant/Closeouts should be copied on the transmittal.
If the DD Form 882 is sent to the agency in paper form, a copy of the Form should be sent to the Office of Research, to the attention of the Sponsored Projects Assistant/Closeouts, with an Office of Research-Sponsored Projects Information Sheet as the cover sheet. The date, method, and recipient(s) of the report should also be specified.
With either method, written confirmation (e-mail is acceptable) from the Principal Investigator of the accuracy of the report should also be sent to our office.
- National Institutes of Health (NIH) Awards:
For contract and grant awards from the National Institutes of Health (NIH), the Final Invention Statement can either be submitted in paper form or through eRA Commons. Sponsored Projects requests that the report be submitted through eRA Commons.
The Principal Investigator for the award should log in to eRA Commons and initiate the Final Invention Statement. All of the required information should be completed, and the Statement should be routed in Commons to the Signing Official, for institutional verification. Sponsored Projects will receive the notice through Commons, input the verification, and submit the Statement to the NIH.
- Department of Energy (DOE) final patent reports should be submitted on the Patent Certification form, which can be located at the following link:
http://www.directives.doe.gov/pdfs/forms/2050-11.pdf
- The National Aeronautics and Space Administration (NASA) has its own form, the NASA NTSR (NASA New Technology Summary Report), which can be found at the following link:
http://invention.nasa.gov
- Flow-through Awards from Federal Agencies: For any contract or grant award for which a Final Invention Report is required and the funds “flow through” to UCSB as a subawardee under a Federal agency prime award, the Report is typically submitted to the prime awardee. In many instances, the prime awardee requires that the Federal forms be used for submission of the Final Invention Report. The terms of the subaward should be reviewed to verify exactly what is needed.
Final Equipment Reports
The sponsor's policies on title to equipment and the submission of final equipment reports must be followed when closing out an award. Many sponsors request an equipment inventory report even if title vests with the University.
Equipment Management is responsible for completing and submitting the final inventorial equipment report. The Principal Investigator is responsible for completing and submitting any final report of non-inventorial property or supplies. The Principal Investigator should assist in answering any questions or addressing any issues that arise regarding inventorial equipment.
EQUIPMENT MANAGEMENT CONTACTS
Manager - Vaughn Boyle (vaughn.boyle@purc.ucsb.edu, 805-893-7377)
Assistant - Diana Mina (diana.mina@purc.ucsb.edu, 805-893-2389)
Final Financial Reports
The expiration of an award usually requires the submission of a final financial status report. The Extramural Funds Accounting Office is responsible for preparing and submitting any financial report required to close out the award. The award is not officially closed until the final payment is received.
Further information on the financial closeout of an award can be found at: http://accounting.ucsb.edu/forms/?unit=Extramural%20Fund%20Management
Questions on the financial closeout of the award should be directed to the appropriate accountant. Full contact information can be found at: http://accounting.ucsb.edu/extramural.funds.accounting/contacts/ |
