Office of Research, UC Riverside
Sponsored Programs Administration

Standard Reports Required for Closeout

Overview

When a sponsored project ends, certain administrative actions are required to ensure an orderly closing of the award. Specific report and deliverable requirements are typically stated in the sponsor's award documents or in a policy brochure or manual. The award documents and Notice of Award will identify the specific reporting requirements and should be reviewed by the Principal Investigator and department administrator at the time the award is funded by the sponsor.

It is important to complete all the requirements and to do so in the timeframe stipulated by the sponsor. Non-compliance in this regard can lead to debarment of the Principal Investigator from receiving subsequent awards from the sponsor. Ultimately, it can even lead to the debarment of the University from receiving awards from the sponsor because the University is held responsible for all required closeout documents.

Final Technical Report

Most awards require submission of a final report of work accomplished during the period of performance. Such reports range from a brief summary and list of publications to a complete, comprehensive 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 schematics or software.

Sponsored Programs Administration is the office of record for UCR's extramural awards. Consequently, Principal Investigators must provide Sponsored Programs Administration with evidence that they have fulfilled their final technical reporting requirements, this may occur in the following ways:

  1. Providing SPA with a copy of the final technical/progress report;
  2. Providing SPA with a copy of the cover letter used to transmit the final technical/progress report;
  3. Copying the Contract and Grant Officer assigned to the PI's department on any electronic transmission that fulfills a final technical reporting requirement; or
  4. Submission of a written statement from the PI to SPA indicating that the final technical/progress reporting requirements have been fulfilled, the day that they were fulfilled and the manner in which they were fulfilled.

Failure on the part of the Principal Investigator to deliver any required technical reports or deliverables to the sponsor in a timely matter may effect the collection of funds for the project and future funding from that sponsor to the University.

Final Report of Patent and Inventions

Most sponsors require reports about patents and inventions made during the conduct of a sponsored project. Usually such declarations are made via a preprinted form, annually and/or at the end of the project period, and are required even if the report is negative. A final report of patents and inventions may require the signatures of both the Principal Investigator and the Contracts or Grants Officer assigned to the PI's department.

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 Technology Commercialization unit in the Office of Research within a specified time or the University may lose its rights to the invention. The Principal Investigator should contact Technology Commercialization as soon as it is practical to discuss the invention, to avoid premature public disclosure, and if appropriate, to start the patent process.

Final Inventory of Equipment

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 whether or not title to such property is retained by the University.

Equipment Management is responsible for completing and submitting the final inventory of equipment report. The Principal Investigator should assist with answering any questions or addressing any issues that arise regarding equipment or property.

Final Financial Status Report

The expiration of an award usually requires the submission of a final financial status report or final invoice. The Extramural Funds Unit of UCR's Accounting Services Department is responsible for submitting any financial reports required to closeout the award. It is advisable that the Principal Investigator monitors project obligations closely, by carefully reviewing the financial reports prepared by the department throughout the project period.

In accordance with OMB Circular A-21, a certification that all charges are for appropriate purposes and in accordance with the application and award documents must be included in each financial report.