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Closing An Award

Awards are considered completed when all work is finished or on the date on which the award expires or terminates. If, at the end of the project period, the Principal Investigator has not secured a renewal, supplement or no-cost extension, closeout must be conducted.

Campus Obligations

The University has an obligation to close all sponsored projects and to submit any final technical and financial reports in a manner consistent with the terms and conditions of the award. The necessary closing procedures may vary, depending on the policies of the sponsor, whether the support was in the form of a grant, cooperative agreement or contract and the specific terms and conditions of the award.

Since sponsors do not send expiration letters, it is the responsibility of the PI to check the award document for all pertinent details about closeout procedures and dates.

The closeout of a project is the process by which the sponsor determines that all applicable administrative actions and all scientific work on the award have been completed.

The requirement to retain records is not affected by closeout, nor is the sponsor's right to audit records. In addition, the University's responsibility to be accountable for property, royalties and program income is not affected by closeout. Refer to the Record Retention section of the UCI Policies and Procedures Manual or the Research Record Retention matrix hosted by UCOP.

PI/Department Roles and Responsibilities

Closeout preparation can begin the moment the award document is first received. Reviewing closeout procedures in the terms and conditions of the award can ensure timely and accurate closeouts. Effective project management over the life of the award helps eliminate problems at closeout. This is a combined effort between the PI, the department and SPA.

Departmental responsibilities include:

  • Timely communication with the PI regarding technical reports and a final invention statement. The PI bears responsibility for preparing and submitting the technical reports to the sponsor.
  • If there are subawards, ensure past invoices have been processed and the final invoice has been received.
  • If the award includes cost sharing requirement, timely reporting of cost sharing.
  • Review the account with the PI and determine whether a No Cost Extension (NCE) is needed. If a NCE is needed, please contact your SPA officer.

Standard reports for closeout can be found here [hyperlink: will link to page once it is created].

For more information on financial requirement for award closeout, please refer to the CGA closeout page.

When an Authorized Official Signature is Needed

Some sponsors may require that final reports be signed by an Authorized Official of the University. In these cases, the report should be sent to Sponsored Projects for signature. You can find the SPA officer in charge of your project at the Sponsored Projects Departmental Assignment page.

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