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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.

In accordance with Article III (C) of UCSB’s Research Circular A.1 “Policy on the Submittal of Proposals, Acceptance of Awards, and Administration of Contracts and Grants”, the Principal Investigator has primary responsibility for the scientific integrity and management of the sponsored project, which includes adherence to all sponsor terms and conditions, including, but not limited to reporting requirements.

For federal awards, the Uniform Guidance established increased importance of timely progress 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.

Failure to complete grant closeout is a breach of the terms and conditions of the award and requires immediate attention from the Grantee. The impact on recipients, like UCSB, will include the possibility that the federal agencies will postpone releasing additional funding if UCSB does not adhere to award reporting requirements.

Sponsored Projects is responsible for monitoring compliance with all final contract and grant reporting requirements. Sponsored Projects does not require a copy of final reports, unless the award terms and conditions require an authorized signature and/or that an authorized official submit the report. We do, however, ask that you provide confirmation and/or documentation on the submission of the final reports to your Sponsored Projects Team.

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.

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 copy of the final technical report, but does request confirmation or documentation of the submission of the report be provided to the Sponsored Projects Team.

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 Patent Basics 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 Form should be completed in accordance with the associated instructions, and please specifically note the following:

The Form should be submitted by the PI and/or department directly to the agency in accordance with the requirements of the award and a copy maintained in the department's file.

If the DD Form 882 is submitted by e-mail, the Sponsored Projects Team should be copied on the transmittal.

If the DD Form 882 is sent to the agency in paper form, confirmation of submission should be provided to the Sponsored Projects Team.

National Science Foundation

The NSF has published memo number NSF 16-040, Meeting NSF's Technical Reporting Requirements. The memo contains answers to frequently asked questions and links to additional resources and information regarding NSF's reporting requirements.

National Institutes of Health (NIH) Awards

For contract and grant awards from the National Institutes of Health (NIH) that require submission of a Final Invention Statement 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 access the Statement through Commons, input the verification, and submit the Statement to the NIH.

When the Final Invention Statement is routed to the Signing Official in eRA Commons, the Principal Investigator or departmental administrator should separately send an e-mail to the assigned Sponsored Projects Team to provide notification that the Statement is pending verification by Sponsored Projects.

Department of Energy (DOE) Awards

Final patent reports for contract or grant awards should be submitted on the Patent Certification form.

National Aeronautics and Space Administration (NASA) Awards

NASA has its own form, the NASA NTSR (NASA New Technology Summary Report), which can be found at the NASA Technology Reporting site.

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@bfs.ucsb.edu, 805-893-7377)
Assistant: Diana Mina (diana.mina@bfs.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 the Extramural Funds Accounting Office Forms and Information page.

Questions on the financial closeout of the award should be directed to the appropriate accountant listed on the Extramural Funds Accounting Office Contacts page.

Records Retention

The university policy, BFB-RMP-1: University Records Management Program, which should be followed when maintaining, storing and disposing of university records, including sponsored award files. The university has also developed a records retention schedule, which should be consulted to determine how long records must be maintained. The award terms and conditions should also be reviewed since, on occasion, the retention period for an award will exceed that of the university policy. In those cases, the award terms must be followed.

To assist department contract and grant liaisons in managing award records, the UCSB Liaison Advisory Group has developed the document, Record Retention - Best Practices for Departments. Additionally, UCSF has created this flowchart, Sponsored Project Research Records in a Nutshell, for quick reference regarding retention of sponsored research records.

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