Close Out

Final Reporting

Close Out requirements and due dates vary significantly depending on the sponsor’s guidelines.

Prior to the project period end date, the DA should review this in the NOA and fully executed award agreement.
For NIH, all applicable closeout reports are due no later than 90 days after the project end date.

OGS can assist with this according to the following table:

Closeout Type	Responsible Party
Final Progress Report (RPPR)	PI with DA
Final Financial Report (FFR)	RF with DA
Final Invention Statement (FIS)	Indranil Basu with OBBD
Relinquishing Statement (RS)	Denise Giocondo with Indranil Basu

NIH Closeout Forms

In eRA Commons, Grants Closeout is a module that allows a grantee to electronically submit the reports and forms required for closeout. The PI or SO can click here to locate the Grants Closeout link in eRA Commons. The process requires three (3) reports to be submitted as part of a final closeout:

Final Research Performance Progress Report (FRPPR) - This is a final scientific progress report that is completed and submitted by the PI in eRA Commons. For what to include in a Final RPPR, click here.
Final Federal Financial Report (FFR) - This is drafted by RF Post Award during the reconciliation process, approved by the DA, and submitted by RF in the eRA Commons FFR Module.
Final invention statement (Form HHS568) - This is completed by the PI in eRA Commons. Indranil confirm an invention or no invention with OBBD and submits it in eRA Commons. Please see the NIH The Final Invention Statement and Certification site for more information.

Other NIH Closeout Forms:

PHS 416-7 Termination Notice is required for all training grants.
- Route all the xTrain trainee termination notices to Sobhan Chaudhry (BO) at sobhan.chaudhry@einsteinmed.edu to confirm the final amount and for final processing.
- On Training Grants (Ts), the student initiates the form and sends it to the PI for approval. Then it is sent to the SO for submission.
- On Fellowships (Fs), students approve (as the PI) to the SO for submission.
Relinquishing statement (RS), is required for projects terminating early, before the project period end date.

Other sponsors: Some agencies require additional forms at closeout, contractor closeout form, invention statement

For DOD, there is a separate final invention form (DD0882) that is completed by the DA and emailed to the Grants Management Specialist by Indranil.
For incoming subcontract agreements, final invoices are required within 45 days of the budget period end date.
For all other sponsors, please review the close out requirements listed in the signed award agreement or visit the sponsor’s website.

Note: Some sponsors do not submit final payment until all of the closeout documents are received and approved. Visit the NIH Post-Award Monitoring and Reporting site for more closeout information.

Early Terminations/Relinquishment of Awards/PI Transfer Out

There may be times when the project must be terminated earlier than planned, prior to the project period end date.

Causes for early termination:

PI transfer out to another institution- See Einstein’s Faculty Departure Checklist for DAs and Faculty Departure Checklist for PIs.
PI receives a new source of funding, which causes overlap
PI is unable to complete the project at Einstein due to sickness, death, or any other reason and there is no other PI to take over

Reminder: Grants are awarded to Principal Investigators (“PIs”) at authorized institutions by sponsoring agencies. PIs should bear in mind that awards are made to the Institution, not directly to the PI; therefore, the relinquishing institution must agree to transfer grants if/when the PI relocates to a new Institution.

Options for grants when a PI leaves an institution:

The first step for the PI and DA is to determine what will happen to each of the grants.

Retention of Award - The grant will remain at Einstein with a Change of PD/PI.
Relinquishment of Award - The grant will transfer with the PI to the new institution as a Change of Recipient Organization.
Termination of Award - The grant will close either as of it’s original project end date (which is within the transfer period) or as of the PI transfer date as approved by the sponsor.

The PI also must determine if any staff, equipment/property, research materials, animals, or supplies will transfer.

Process and forms needed:

Grant transfers are a very time consuming process that can take months before all items are completely transferred.

Contact OGS and RF Post Award as soon as possible to begin the process.
- OGS items needed: In order for the AO to initiate the process in eRA commons, the DA must send OGS the business contact name and the UEI# for the new institution.
- RF Items needed: The DA must send RF the PI name, list of grants that will transfer, and the effective date of the transfer.
The institution that the PI is leaving (Einstein) will submit a Relinquishing statement (RS). This is completed by Indranil Basu who confirms the estimated unexpended balance with RF post award, signs, and submits it on eRA Commons. If the link for this form is not present in eRA Commons, Indranil will email the GMS to request the link for upload be added.
- There is a section on the RS for disclosure of Equipment Costing $5,000 or More Transferring with the Project that must be completed when applicable.
- Note: The final unexpended balance will be confirmed once the FFR is submitted.
The institution that the PI is moving to will follow the sponsor guidelines for Change of Recipient Organization.
- For NIH, this will include a revised face page, updated budget, and many of the sections from the original proposal with the changes related to the new institution highlighted.
- For all other sponsors, please review the requirements listed in the signed award agreement or visit the sponsor’s website.
- Transfers must be requested and approved by the sponsor.
- See our PI transfer in site for the process for the institution the PI is moving to.

Vacation Payout - VPO

Please refer to the Research Finance Intranet site

Final RPPRs

It is the policy of the Albert Einstein College of Medicine to comply with regulatory requirements to close out expired funds. This involves both financial and technical requirements as defined by the sponsor. Albert Einstein College will adhere to policies set forth by the various agencies to ensure compliance requirements and period of availability are met.

Steps to Prepare Final RPPRs:

In Cayuse SP, the DA will create a new OPAS and email the SP# to AOR/ SO for RPPRs. The only Cayuse SP sections required include:
- General information
- Investigator/Research Team - Only list PI
- Proposal Attachments - Draft of FRPPR with section D1 completed and the final invention statement (FIS).
  - See the closeout section for more information on the FIS.
  - PI certification and the Cayuse supplemental form are not required.
- Submission Notes - Add a note for OGS that the final invention statement has been completed in eRA Commons.
OGS will verify the final invention statement with OBBD.
Do NOT route in Cayuse.
Once the proposal is approved in SP, the PI must route the FRPPR in eRA Commons for submission by AOR/ SO.

Annual and interim RPPRs can be submitted by the delegate (DA).
But final RPPRs must be submitted by the PI.

Note: For Interim and Final RPPRs- Under D.1 recipients should only report on the individuals/staff that worked on the project during the last budget period minus any approved no-cost extensions. For more final RPPR information, see NIH’s Final RPPR site and Einstein’s RPPR Instruction Guide, Section 6.4 .

Period Performance/End of Project Purchases

Please refer to the Research Finance Intranet site

Closing Entries

Refunds Needed - Please refer to the Research Finance Intranet site

Residual Balances - No Refunds Needed - Please refer to the Research Finance Intranet site

Closing Entries - Please refer to the Research Finance Intranet site

Scientific/For the PI

Closeout- Scientific Topics:

Data Life Cycle: Process, Analyze, Preserve/Store/Archive/Manage, Share/ Publish, Re-Use
Inventions and Patents: Disclosing inventions that form the basis of intellectual property (patents, copyrights, novel biologics, etc.) is essential to protect the researcher’s interest and contribution to the intellectual property and any potential financial benefits that may arise from ideas or technologies developed during the research lifecycle.
- Only the inventor can obtain a patent; however, employers often require employees to hand over patent rights.
- For more information on Inventions, refer to the Human Subject Research Planning and Development site.
- Also, see OBBD’s online Invention Disclosure Form and the quick guidelines for using the form.
Publishing: See the NIH Public Access Policy for details
- PubMed is a biomedical literature database which contains the abstracts of publications in the database.
- PubMed Central is a full text repository, which contains the full text of publications in the database.
- NIH RePORTER (RePORT Expenditures and Results) module - RePORTER is an electronic tool that allows users to search a repository of both intramural and extramural NIH-funded research projects and access publications and patents resulting from NIH funding.
Record Retention: All financial and programmatic records, supporting documents, and statistical records pertaining to the grant should be maintained by their appropriate office in accordance to the specific requirements of the funding agency.
- Click here for NIH specific requirements

Next steps: Continuing in the cycle

Competing Renewals - Initial request for additional funding for a period subsequent to that provided by a current award. Renewal applications compete for funding with all other peer reviewed applications and must be developed as fully as though the applicant is applying for the first time.

Quick Links

Office of Grant Support

Close Out

Final Reporting

Closing Entries

Scientific/For the PI