Closeout Procedures

Sponsors generally require financial reporting both interim and at project closeout (often referred to as "Federal Financial Reports" or "FFRs"). Please work with your OGC Postaward Accountant to submit your FFR in a timely manner before the sponsor deadline. Please note, each OGC Postaward Accountant is assigned different departments (Postaward Staff Department Assignments). In an effort to meet competing deadlines, the OGC Postaward team will be distributing notifications of projects approaching "closeout" by email 90/60/30 calendar days before the award end date. The notifications are intended to serve as a reminder that the award will be ending soon and the closeout process should begin.

NIH Closeout

The FFR is used to submit financial information about individual grant awards. The FFR is required on an annual basis, except for domestic awards under the Streamlined Noncompeting Award Process (SNAP) and awards that require more frequent reporting. When required on and annual basis, the report must be submitted for each budget period no later than 90 days after the end of the calendar quarter in which the budget period ends (3/31, 6/30, 9/30, 12/31).

A final FFR shall be submitted at the completion of the award agreement for all awards. For final FFRs, the reporting period end date shall be the end date of the project or grant period. The final FFR must be submitted within 120 calendar days after the end of the project period.

NIH FFR User Guide

DOD Closeout

The recipient shall use the Standard Form (SF) 425, "Federal Financial Report," for reporting individual awards. Quarterly and final reports are required for those awards receiving advance payments. Annual and final reports are required for those awards receiving cost reimbursement payments.

The Federal Financial Reporting period end dates fall on the end of the calendar quarter for quarterly reports (3/31, 6/30, 9/30, 12/31), end of the calendar year for annual reports (12/31), and the end date of the term of the award for the final report. Reports are due 30 days after the reporting period end date for quarterly and annual reports and 90 days after the end date of the term of the award for the final report.

DOD FFR Instructions

For NIH, the Final Research Performance Progress Report (F-RPPR) replaced the Final Progress Report (FPR) for closeout effective January 1, 2017.  NIH is no longer accepting FPRs. Generally, the format is the same as the annual RPPR, making it easier for recipients to navigate through the F-RPPR based on familiarity with the format of the annual RPPR.

Also, in accordance with NIH's implementation of the F-RPPR, recipients are required to adhere to the new requirement to report on Project Outcomes. This section is made publicly available, thus allowing recipients the opportunity to provide the general public with a concise summary of the cumulative outcome or findings of the project (analogous to the Project Summary/Abstract section of the competing application).

NIH has aligned its reporting requirement with other Federal research agencies and therefore did not make any changes to the deadline for submitting the final report- i.e., the Final RPPR must be submitted via eRA Commons no later than 120 calendar days from the period of performance end date. If a recipient fails to comply with this reporting requirement, NIH may take one or more enforcement actions, such as a decision not to make a non-competing continuation award, consistent with NIHGPS Chapter 8.5.2.

Notes:

• The previous FPR had no formal formatting restrictions while the new F-RPPR has a streamlined format similar to the annual RPPR.
  
• The PI had the ability to submit the previous FPR format directly NIH via their eRA Commons account. The new F-RPPR format must be submitted by the Signing Official (SO).
  
• The F-RPPR much like the previous FPR focuses primarily on the outcomes of goals/specific aims of the research project. It is the PI's responsibility to complete the F-RPPR.
  

Type 2 Renewal Submission Changes

NIH discontinued its Type 2 policy which in accordance with NIHGPS Chapter 8.6.2 states that "whether funded or not" the progress report contained in the Type 2 application may serve in lieu of a separate final progress report. It is important to note that the discontinuance of this longstanding policy aligns NIH's final performance reporting requirement with the requirements imposed by other Federal research awarding agencies thus reducing the administrative burden associated with a unique NIH reporting requirement.

Therefore, as a standard policy, NIH requires that organizations submit an "Interim-RPPR" while their renewal application (Type 2) is under consideration. In the event that the Type 2 is funded, NIH will treat the Interim-RPPR as the annual performance report for the final year of the previous competitive segment. If the Type 2 is not funded, the Interim-RPPR will be treated by NIH staff as the institution's Final-RPPR.

The "Interim RPPR" must be submitted within 120 calendar days from the period of performance end date.

Steps for F-RPPR | Interim RPPR Submissions (does not require ERA InfoEd Routing):

• PI/Delegate initiates and completes F-RPPR|Interim RPPR for applicable project via the "closeout" link in eRA Commons
  
• PI submits the F-RPPR|Interim RPPR directly to the NIH via their eRA Commons account

The DOD and NIH require the recipient of an award to report whether or not the funded project resulted in any subject inventions, and whether or not inventions were previously reported. Final Invention Statements must list all inventions that were conceived or first actually reduced to practice during the course of work under the project. Final Invention Statements must be signed by the OGC Signing Official.

PI or Delegate completes FIS via eRA Commons. Paper copies will not be accepted if electronic submission is available. All DOD FIS reports are submitted as a paper copy.

• Follow the below steps for electronic FIS submissions with NO inventions to report
  
  • Log into PI eRA Commons account
    
  • Select 'Status' tab
    
  • Search for the grant number that requires closeout
    
  • Select the 'Requires Closeout' link under the applicable grant
    
  • Select 'Process Final Invention Statement' in the Action column
    
  • Select the 'No' button
    
  • The process is now complete and the SO will receive an automated email notification from eRA Commons to review the FIS
    
  • Paper copies that do not have inventions to report must state "None" in the 'Title of Invention' section of the form
    
• Instructions for reporting inventions 'Yes' on eRA Commons FIS
  
• DOD DD Form 882 (to be used for DOD paper copies only)
  
• NIH Form HHS 568 FIS (to be used for NIH paper copies only)
  

CU Denver Signing Official receives an email notification that the PI or Delegate has completed their FIS via eRA Commons. The email will go to xenia@ucdenver.edu. Paper copies must be emailed to xenia@ucdenver.edu.

SO will match the FIS to the applicable proposal record and verify the reported information with the Technology Transfer Office (TTO). If there are any discrepancies, TTO will reach out directly to the PI for the correct information

Once TTO has completed verification of the FIS, the SO will submit the FIS via eRA Commons. A copy of the submitted FIS will be added to the InfoEd proposal record for any future reference.

The SO and PI will receive an email notification of the submission once the FIS has been submitted via eRA Commons.

Notes:
To prevent delays in sponsor approval, the OGC Signing Official must sign and submit the Final Invention Statement. For electronic submissions, only the SO has permissions to submit the FIS.

Please allow up 5 business days to complete. This process involves the coordination of several departments working together to complete and submit.

Final Invention Statement Flowchart

NIH Federal Fellowship, Trainee and Career Development awards require utilization of NIH's xTrain application found on the eRA Commons website. xTrain is an application that allows program personnel and trainees to electronically prepare and submit the required PHS 2271 Statement of Appointment Forms and PHS 416-7 Termination Notices which was instituted as a requirement by NIH as of January 1, 2011. This requirement applies to the following activity codes:

• Kirschstein-NRSA undergraduate institutional training grants (T34 - appointment forms only)
  
• Kirschstein-NRSA predoctoral and postdoctoral institutional training grants (T32, T35, T90, TL1, and TU2)
  
• National Library of Medicine institutional training grants (T15)
  
• Kirschstein-NRSA fellowships (F30, F31, F32, and F33 - termination notices only)
  
• Research education awards (R25, R90)
  
• Institutional career development awards (K12, KL2, and KM1)
  

Step-by-step Guide for processing termination notices via eRA Commons.

Notes:

To prevent delays in Business Official(BO)/OGC approval, please ensure that all stipends are appropriately posted to the respective speedtype(s) for the respective period of performance(s) per the Fellow/Trainee Statement of Appointments. For more information on how to enter Fellow/Trainee Statement of Appointments, please see the xTrain User Guide.

Be sure to select the correct BO assigned to your department (Postaward Department Assignments).