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.
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:
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.
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.
Department of Defense Agency Awards
For contract and grant awards from the 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:
- 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 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 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 should 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.
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.
Department of Energy (DOE) Awards
Final patent reports for contract and grant awards should be submitted on the Patent Certification form.