Reporting
Review various closeout reporting requirements for the end of an award and closeout of research projects.
Contents
Human Subjects Research
External Sponsor Reporting
External – Other Reporting
Federal Sponsor Final Technical/Progress Report Submission
PIs should confirm all closeout requirements from the award terms and conditions. PIs should complete an Extension form and submit it along with an Award Modification in SAGE if they need to request more time to complete a sponsored award.
Unless the sponsor grants an extension, PIs must submit all final performance documentation according to award terms and conditions.
PIs and Administrators should become familiar with GIM 39 and review the End of Award Recommendations.
If OSP is aware that final reporting has become delinquent, OSP will escalate to the Chair and Dean.
Contact closeout@uw.edu with questions.
Internal- UW Reports
Final reporting for:
- Human Subjects: Close an IRB application
- Innovation Reporting: If innovations were made, fill out the eROI form and submit to CoMotion.
- Equipment Reporting
- Financial Conflict of Interest (FCOI) GIM 10: All reporting complete as required under Management Plan
- Office of Animal Welfare (OAW)
- Employee Compensation Compliance (ECC) complete
- Cost share requirements met & posted in UW systems
Human Subjects Research
The completion of your non-exempt human subjects research must be reported in a timely manner to the IRB(s) that reviewed and approved your research. “Completion” is defined as:
- All subjects have completed all study-related interventions and procedures, including any follow-up.
- You have obtained all private identifiable data and/or specimens from all subjects.
- You have completed the analysis of all private identifiable data and specimens, as described in your IRB application.
To close a UW IRB application:
- If your IRB application is still paper-based: Complete the Paper Status Report form and mail to HSD.
If your IRB application is in Zipline (the UW’s web-based IRB application system): Complete the Zipline Status Report form and upload it to Zipline.
See this Guidance for a more detailed description, including the three most common closure mistakes made by researchers.
External – Sponsor Reporting
Most sponsors require these final reports:
If there was equipment purchased you may also need to complete Final Equipment Inventory Reporting.
Check your award for specialized final reporting requirements, such as a list of publications, property report or security report.
Federal Contracts
OSP signs and submits the completed federal contract forms.
Examples of required federal contract closeout forms:
- All Work Completed Assurance/Deliverables Met
- Contractor’s Certification Concerning Royalties, Patents, and Copyrights
- Property Clearance Report
- Release of Claims and Final Invoice
Technical/Scientific (Performance/Progress report)
In all cases:
- Review your award for specific closeout requirements and deadlines.
- Submit all required reports following sponsor instructions.
Federal Sponsor Final Technical/Progress Report Submission
Federal Sponsor Systems
AhRQ - Agency for Healthcare Research and Quality
Review the template and further instructions from AHRQ’s Post Award Management site.
Submit the final report via email to grantfpr@ahrq.gov.
CDC - Centers for Disease Control
Review closeout guidance from CDC and submit the final report to the Grants Management Officer.
DoD - Department of Defense
Review the terms in your award.
Is the Office of Naval Research (ONR) Seattle Regional office administering your grant or contract for DoD? Forward a copy of all closeout forms and documentation to ONR.
Possible requirements:
- SF 298 Report Documentation Form, summarizes award information, includes the abstract and any distribution limitations,
- When the DFARS Clause 252.246-7000 is included in the contract use DD Form 250, Material Inspection & Receiving Report.
DOE - Department of Energy
- Complete and submit the final report electronically via DOE Energy Link System.
- Upload the report in PDF format.
- Forward submission confirmation and Office of Scientific and Technical Information (OSTI) ID to closeout@uw.edu
ED - Department of Education
ED 524B report cover sheet is required with final technical report submission and needs:
- Grant and Contract Accounting (GCA) concurrence on Budget Expenditures section
- OSP sign-off/approval of the report after GCA concurrence
PI Submits via the G5 System.
HRSA - Health Resources and Services Administration
Submit all progress reports, including the final report, via the HRSA Electronic Handbook
NASA- National Aeronautics and Space Administration
Submit via email to the NASA Shared Center: NSSCcloseout@mail.nasa.gov
NIH - National Institutes of Health
Initiate an Interim or Final RPPR via eRACommons.
Use plain language when filling out the Project Outcomes. NIH will review & approve this section before it will be made publicly available through the NIH RePORTER.
When applicable use Human Subjects System (HSS).
- Complete HSS records & mark ‘Ready for Submission’
- If the Submit button is active for the PI, PI submits the HSS record
- If the Submit button is not active for the PI, twice a week (Tues & Thurs) OSP will submit all HSS records ‘Ready for Submission’.
- Send special requests for HSS submission to osp@uw.edu.
- Once HSS records have been submitted, you should see the HSS data within the RPPR.
- Do not submit the RPPR until after HSS updates appear within the RPPR.
- NIH – Tool Tip: Human Subjects System (HSS) Quick Guide for Warnings and Errors
Upon completion, notify closeout@uw.edu and attach a copy of the submission confirmation.
If the Project Outcomes of an I-RPPR/F-RPPR didn’t use plain language, shared proprietary information, or included Personally Identifiable Information (PII), NIH will request a revised Project Outcomes.
To complete the request, navigate to the award in the Commons. Select IRAM/FRAM from additional actions.
Enter revised Project Outcomes in the IRAM/FRAM Project Outcomes text box. Do not upload it as an attachment.
Learn more about the NIH RPPR: IRAM and FRAM
NSF - National Science Foundation
Log into Research.gov and select “Awards and Reporting”.
Substance Abuse and Mental Health Services Administration - SAMHSA
Follow the terms of your award and review:
Final Invention Statement
The PI must report all innovations to CoMotion, using a Record of Innovation Form (ROI).
If required by the sponsor, PIs must also submit a positive or negative invention statement to the sponsor.
Agencies may also require institutional signature or submission in sponsor systems. Contact closeout@uw.edu.
Federal Sponsor Final Invention Statement Submission Steps
| Sponsor | Where to Submit | PI Guidance |
|---|---|---|
| AHRQ | grantfpr@ahrq.hhs.gov | Submit pdf of Form HH568 to grantfpr@ahrq.hhs.gov |
| CDC | Grants Management Officer | Review closeout guidance from CDC and submit the final report to the Grants Management Officer. |
| NIH | eRA Commons | Submit Form HH568 via eRACommons.
|
| NSF | NSF does not have a standard Final Invention Statement. CoMotion reviews your ROI and submits invention reports via iEdison, as necessary. |
|
| DOE | Fill out Patent Certifications Form DOE F2050-11
Check your award documents for submission requirements. |
|
| DoD | Fill out Form DD882.
Check your award documents for submission requirements. |
|
| NASA | Disclosure of Invention and New Technology (Including Software): |
Final Financial Report
For Federal Awards, the Federal Financial Report (FFR) is prepared & submitted to the Sponsor by Grant and Contract Accounting (GCA).
The form and type of submission are outlined by the sponsor per the terms and conditions of the award. The completed report is attached and a notification is sent to the PI and Fiscal staff through GrantTracker.
Many other non-federal sponsors also require a final financial report. Review the terms and conditions of your award.
External – Other Reporting
Clinicaltrials.gov
PI/research team submits summary results to clinicaltrials.gov within one year of primary completion of the clinical trial. Review Dissemination of Results for more information.
FCOI reporting to DHHS
Office of Research submits FCOI management plans to sponsors and if PHS-Investigator, the FCOI information on its website.
iEdison Reporting
CoMotion reports innovations generated on a federally funded project.
Forms, Tools, and Resources
- Zipline
- ClinicalTrials.gov
- Data Management Resources at UW
- CoMotion: Technology Transfer Office
- CoMotion: Record of Innovation eForm
- Equipment Inventory: Closeout Reporting
- MAA: Faculty Effort Certification (FEC)
- End of Award Request Form
- Dissemination of Results
- Office of Sponsored Programs
- MAA: Grant & Contract Certification Report (GCCR)
- GCA: Cost Share
- NIH: RPPR FAQs
- End of Award / Budget Review Checklist
