Project Close-out
SPS Round Table
January 17, 2006
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Did you know?
There are over 3,300 active sponsored projects!
We are contractually and legally bound to submit final
reports and failure to do so can result in loss of future
funding.
For example: NSF will not review a new proposal if the
PI or Co-PI has any outstanding final technical reports.
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Which Reports Are Required?
FDP FINAL REPORT REQUIREMENTS1
Technical Reports are submitted by the Principal Investigator to the Grants Officer unless otherwise specified. OSP should always
receive a copy of the Technical Report transmittal letter or cover page.
Financial Reports are submitted by Sponsored Funds Accounting and reported to OSP via a monthly log.
Equipment Reports are submitted by Cornell’s Government Property Control Office. OSP receives a copy of the report or
transmittal page.
Patent Reports are submitted by OSP after contacting both the Principle Investigator and the Patents & Technology Marketing
Office.
Report Types
FDP Participating Agencies
DOE
90 days
O + 24
EPA
90 days
O+2
NASA
90 days
Original5
NIH
90 days
O+2
60 days
ARMY2
60 days
ARO 18
+ SF298
90 days
90 days
90 days
90 days
Equipment
None
None
None
None
Patent
Annual +
60 days
DD 882
180 days
DD 882
None
None
Technical
AFOSR
As
requested
Fiscal
ONR3
As
requested
90 days
NSF
90 days
Original
98A
None
90 days
USDA
90 days
O+2
AD-421
90 days
Annual6 +
60 days
None
None
90 days7
None
Annual +
30 days
90 days
HHS 568
None
90 days
DD 882
None
osp.djc.11/1/94
revised.vad.12/10/02; 2/26/03
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as of May 31, 1994
Report requirements and distribution copies are as specified on the individual awards. Usually the requirements are as listed above.
Report requirements and distribution copies are as specified on the individual awards. Usually the requirements are as listed above.
Final reports must be accompanied by two copies of DOE Form 241.1 (Formally DOE Form 1332.15)
Original submission is to the Grants Officer, copy to the NASA Technical Officer and Microreproducible copy to CASI.
Submitted by Inventory Control on Government Furnished Equipment only on October 31 each year.
Awards with a “J” do not need final equipment reports (N00014-XX-J-XXXX)
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Who is responsible?
• Technical – the scientific report or deliverable prepared by
PI which describes the results of the project.
• Equipment – Federal regulations define how universities
can use equipment purchased with government funds.
Handled by SFA staff.
• Financial – the final financial report prepared by SFA staff
provides the sponsor with a final accounting of the
expenditures on the award.
• Patent – aka, invention reporting. Handled by SPS staff.
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Final Technical Reports
Once a month SPS will send email reminder to PI indicating
the final technical report is due or past due.
Either PI or authorized departmental personnel can input
final technical reports.
Good idea to run Brio report for outstanding reports to
follow-up with PI. Ex: awards terming within 30 days,
active/pending awards past end date.
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Technical Reports Sent
Technical Report Requests Sent
600
500
Count
400
300
200
100
0
10/25/2004 12/24/2004 2/22/2005 4/23/2005
6/22/2005
8/21/2005
Date
Reports
PIs
• Backlog of past due technical reports has decreased by 45%
since inception of monthly notifications to PIs
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No Cost Extension
Under FDP authority, we can initiate a one-time
extension up to 12 months at no additional cost.
Notification must be sent to the sponsoring agency
within 10 days prior to the term of the project.
Otherwise, extensions must be requested in writing
before the project ends (usually within 45 days before
term).
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No Cost Extension Requests
Submit change request in Portal:
Include the new term date, unobligated balance of the
remaining dollars, and justification.
Having money left over is not a valid reason to request
extension.
OR: PI may draft letter to sponsor and GCO will provide
institutional concurrence.
Please be sure to notify SFA so the account won’t be
processed for close out.
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Subcontract Close-out
• Subawards can be closed prior to term of prime award
but not vice versa.
• All reports must be received by Cornell prior to payment
of final invoice.
• Final patent and equipment reports must be sent to SPS
on agency specific forms.
• SPS will address any Small Business Plans and A-133
reporting issues.
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Closeout Status
• AAC-AWARD AWAITING CLOSEOUT (was HHolding): The award period has ended, no amendments
are pending. OSP is waiting for notification that final
deliverables have been provided to the sponsor.
• ACOSP-AWARD CLOSED BY OSP: The award
period has ended and all deliverables have been
submitted except the technical report. The hardcopy
award file is archived.
• AC-AWARD CLOSED (T-Terminated): The award
period has ended and all deliverables have been
submitted. The hardcopy award file is archived.
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Retention
Records should be retained in accordance with University
and applicable sponsor regulations.
Cornell’s record retention policy can be found at
http://www.univco.cornell.edu/policy/RR.for.html
OMB Circular A-110 also includes guidelines at
http://www.whitehouse.gov/omb/circulars/a110/a110.html
Federal regulations (OMB A-110, Section 3) indicates
federally funded projects must be retained for three years
following submission of the final expenditures or financial
report.
For New York funded projects, SPS retain projects up to six
years.
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Questions?
When in doubt; contact your friendly SPS office.
We’re here to help!
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