Sponsored Project Closeout
The closeout process at UC Berkeley is a set of procedures in response to the requirements of federal policy OMB 2 CFR §200.343. Several campus units are involved in this process: Campus Shared Services Research Administration (CSS RA) working with the individual PIs and campus departments in which sponsored research is performed, Contracts and Grants Accounting, the Sponsored Projects Office (SPO), Equipment Management (EM), and, occasionally, the Office of Technology Licensing (OTL).
Final Technical Reports
The Principal Investigator (PI) is responsible for the submission of any final technical reports required under the terms of an award in the form required by the sponsor. PIs should consult their award terms to determine what reports are required as well as when how the sponsor expects to receive these reports. For more guidance, see Progress Reports / Final Technical Reports.
Final Financial Reports
Most sponsored projects require a final report of the award's costs. Agencies of the federal government, as well as non-federal organizations, demand strict adherence to the reporting requirements set forth in the award document. These requirements typically specify what is required and when the report must be submitted.
Contracts and Grants Accounting (CGA) will submit the Final Financial Report to the sponsor no later than the due date specified in the award document.
Prior to submitting the final financial report, CGA will work closely with the PI and CSS RA and/or the Department Manager (DM) to ensure all costs (including subaward costs) have been correctly recorded in the General Ledger.
Note: The UC Berkeley PI also is responsible for ensuring that each subrecipient has submitted all required reports and deliverables to UC Berkeley prior to making a final payment to the subrecipient. SPO’s Subaward Closeout Checklist provides a list of reports and deliverables that are typically required.
For more information on CGA’s award closeout process, see Contracts and Grants Accounting Award Closeout.
Other Closeout Actions
Upon completion of a contract or grant, the PI’s department/unit will be asked by Berkeley Property Management to conduct a physical inventory of all property assigned to the related contract or grant. An equipment list will be provided by Equipment Management, to perform this task. The PI’s department/unit will be asked to address the “completeness” of the equipment items acquired, confirming the condition of all items, and to assist in determining the appropriate disposition actions for each piece of equipment.
The PI will be asked to justify equipment from the expiring contract or grant, that he/she wishes to retain for either immediate use on another project or authorized future projects retain the equipment.
The Equipment Management Office will submit the final inventory report to the contracting agency directly, or via the Sponsored Projects Office, requesting Title be transferred to the University, and requesting disposition instructions for equipment.
For more information on equipment reporting, see “Expired Grants and Contracts” on Property Managment: Equipment Acquisition.
When an invention developed under a federally sponsored project is disclosed by the PI to the Office of Technology Licensing (OTL), OTL is responsible for notifying the federal sponsor about this invention via iEdison. iEdison is an electronic system for grantees and contractors to report inventions arising out of federally funded research to the government agency that issued the funding, as required by the Bayh-Dole Act.
When SPO is contacted by a federal sponsor about an invention report, SPO consults the iEdison database, and submits either a positive or negative invention/patent report to the sponsor.
Sponsoring agencies may contact SPO when any of the above required closeout reports have not been received. When SPO receives a request for a delinquent report from a federal agency representative, SPO follows up with the responsible individual or campus office or individual as described above.