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Non-Financial Administration of Award Closeouts. December 7 th , 2011. What is “Closeout”?.

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What is closeout
What is “Closeout”?

  • Closeout is the process in which the awarding agency determines that all applicable administrative actions and all required work with the award have been completed by the recipient [and the awarding agency].

  • Closeout is an “After-the-Award” activity officially ending the grant relationship.

  • Defined in 45 CFR Part 74.71

What is closeout1
What is “Closeout”?

All grants and contracts have end dates that require a

variety of closeout procedures:

  • Final financial report;

  • Final invoice, Reporting of inventions and patent results;

  • Listing of equipment purchases and equipment ownership information; and

  • Final technical progress report providing the sponsor with the results of the research.

What is expected
What is expected?

  • Timeliness of reporting and closing is crucial

    to sound grants/contracts management to

    assure full compliance with sponsoring

    agency regulations.

  • These functions are tested as part of the

    annual OMB A-133 audit as well as by other

    sponsoring agencies when they make

    periodic site visits.


  • Grantees must submit to NIH within 90 calendar days after the last day of the final budget period.

    • Final Progress Report

    • Final Financial Status Report

    • Final Invention Statement

  • Submit to eRA Commons (preferred) or NIH Centralized Processing Center

  • Requirements detailed in the NIH Grants Policy Statement (Section 8.6 Closeout)



  • Final project report must be submitted electronically via the NSF FastLane System within 90 days following expiration of the grant;

  • Within 90 days following expiration of the grant, a project outcomes report for the general public must be submitted electronically via; and

  • Federal Financial Report (FFR) must be submitted one full quarter after the expiration of the grant.

Foundations other not for profit organizations
Foundations & Other Not for Profit Organizations

  • Final Technical/Scientific reports;

  • Final Financial Reports;

  • Other reports as designated; and

  • Due dates vary by sponsor and will be specified in the

    the award documents.

Compliance reminder
Compliance Reminder

  • Failure to submit timely and accurate final reports may affect future funding to the organization and/or awards with the same PD/PI(s). Accordingly NIH may impose sanctions on institutions that fail to correct recurring problems. Sanctions may include:

    • Corrective Actions

    • Removal of Authorities

    • Delay or withholding of future awards to the project or program

Compliance reminder1

  • OMB Circular A-110 provides Information on Closeout Requirements*

    – Submit all sponsor required reports and liquidate all obligations within 90 calendar days;

    – Refund any balances of unobligated cash that was paid by the sponsor; and

    – Disclose information on any property acquired with funds or received from the sponsoring agency.

    *(OMB Circular A-110, Section 71)

Roles responsibilities cont
Roles & Responsibilities cont.

  • PI/BA work with Post-Award to complete Final Closeout;

  • PI/BA uploads Final Progress report via Era Commons/NSF, sponsor’s website or via e-mail as required by contract/grant agreement;

  • If final progress report needs to be signed off on or submitted by ORS, please forward to Tina Nemetz

  • Notify Tina Nemetz [email protected] once Final Invention has been completed in Era Commons, alternatively complete Final Invention form and forward to Tina for processing;

  • Contact Tina Nemetz for clarification on non-financial closeout actions.

Recommended practices to improve the closeout process and reduce risk
Recommended Practices to Improve the Closeout Process and Reduce Risk

  • The non-financial closeout process is often treated as a separate procedure from the completion of the final financial closeout, but it should ideally be an extension of this process.

  • Notify ORS when you are ready to begin the process.

    • If the project will not be completed by the end date, determine if you want to request a no-cost extension. If so, your Pre-award contact can facilitate that process.

Recommended practices to improve the closeout process and reduce risk1
Recommended Practices to Improve the Closeout Process and Reduce Risk

  • Timeframe. 

    • It is recommended that you begin the process 2-3 months prior to the end of the project. 

    • For NIH grants, you have *90 days after the grant end date to finalize all expenses and submit all documentation. 

      *Check with Post-Award Desk Accountant

    • For incoming subawards under NIH grants, you have 45-60 days after the end date to close out the project. 

    • For other projects, refer to your contract or other sponsor guidelines.

  • For clarity, once you have been notified by Post-Award that closeout action will begin please complete the non-financial closeout process (i.e. Final Invention and Final Progress Report). If at any point you are unclear of what is specifically required by your sponsor for non-financial closeout please feel free to contact Tina Nemetz.

Questions Reduce Risk

Resources Reduce Risk

  • How to Guide for Era Commons:

  • Reminder of NIH Requirements for Submission of Financial, Administrative, and Scientific Closeout Reports in a Timely and Accurate Fashion:

  • Subpart D-After-The-Award Requirements