UW Research

Reporting

Review various closeout reporting requirements for the end of an award and closeout of research projects.

Contents

Internal UW Reports
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 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: 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

Email these forms to OSP for review and signature via closeout@uw.edu.

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

Make it a priority to submit technical/progress reports to sponsors on time.

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.

CDC closeout description.

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:

DOE - Department of Energy

  1. Complete and submit the final report electronically via DOE Energy Link System.
  2. Upload the report in PDF format.
  3. 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:

  1. Grant and Contract Accounting (GCA) concurrence on Budget Expenditures section
  2. 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

Instructions:

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 Principal Investigator (PI) must complete a Record of Innovation report with UW CoMotion before reporting inventions to our sponsors. The UW cannot guarantee review or protections without this.

No Inventions?

If required by the sponsor, the PI still submits an invention statement confirming “no inventions”. After the PI indicates “no inventions” on a sponsor final invention statement form, the PI must forward the form to OSP to confirm with CoMotion. The PI may forward the form directly to CoMotion for verification if OSP does not need to sign and submit the form.

Contact closeout@uw.edu if the sponsor requires institutional signature or submission in sponsor systems.

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.

CDC closeout description.
NIH eRA Commons Submit Form HH568 via eRACommons.

  1. Click the Status tab at top of the screen and select “Requires Closeout” in Action column for the award.
  2. On closeout status screen, click Process Final Invention Statement
  3. Complete form and Save
  4. Contact closeout@uw.edu for SO submission
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 Complete Form DD882 and forward to OSP via closeout@uw.edu for review and signature.

Check your award documents for submission requirements.
NASA PIs:
Create an account at NASA’s Technology Transfer websiteSubmit NASA invention reports:

Final Financial Report

For federal awards, Grant & Contract Accounting (GCA) submits the Federal Financial Report (FFR). Many other non-federal awards also require a final financial report. Review the terms and conditions of your award.

After GCA sends the final financial report to the sponsor, they create an Award Portal ticket to notify the Principal Investigator and the contacts listed in Award Portal that the financial report has been submitted to the sponsor and attach a copy of the submitted financial report for reference.

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

Policy, Regulation, and Guidance

Announcements

April 30, 2024
Consequences for Late or Missing Progress Reports
January 11, 2011
NSF Requirement for a Data Management Plan
All Announcements