1. CERTIFICATION PROGRAM INTRODUCTION & OVERVIEW Close Out(s) No Cost Extensions Grant/Contracts Industry/Other https://cws.auburn.edu/OVPR/pm/psfs/tigertips https://cws.auburn.edu/shared/files?id=159&filename=closeout.pdf

2. CERTIFICATION PROGRAM Conducting & Managing The Project Is it really OVER? Almost Over? Not Over?  What are the important questions to ask?  What is your timeline and why is that important?  Do you have a timeline? How do you determine?  Disconnect between parties – how do you verify?  Are there any questions to have answered?  If so – who do you ask?

3. CERTIFICATION PROGRAM Conducting & Managing The Project Each Contract or Grant has an end date. These end dates may be firm and fixed, but there can be some flexibility involved. Why can a contract/grant due date be extended? When can a contract/grant be extended? What are the steps to getting an extension? Why is it called a no cost extension?

4. CERTIFICATION PROGRAM Conducting & Managing The Project No Cost Extension Extension of original period of performance allowing the completion of goals, deliverables, and reporting with no additional funds. Must have a scientific or project related justification for requesting extension of your end day. *THERE IS NO COST TO THE SPONSOR

5. Conducting & Managing The Project  Delay in hiring required personnel  Weather conditions  Necessary equipment unavailable  Monies remaining on project account*  Subcontractor had delays  Delay in PI/award transfers  Analysis for reporting not complete *Remaining monies MUST have justification CERTIFICATION PROGRAM Why Request no cost extension

6. CERTIFICATION PROGRAM CONDUCTING & MANAGING THE PROJECT When is request submitted Requests should be made to sponsor at least 30- 45 days from expiration date allowing time for review and approval before end of project. Some sponsors require requests electronically; others prefer formal written request with authorized University signature. Be sure to request enough extra time to complete your project. NSF FASTLANE and NIH Commons require electronic submissions/notifications

7. CERTIFICATION PROGRAM CONDUCTING & MANAGING THE PROJECT How to request Individual sponsor requirements vary. Award document should specify and/or reference policies or links to their requirement process for NCE requests. If award has no option contact your Contract Administrator in OSP for instructions.

8. CERTIFICATION PROGRAM CONDUCTING & MANAGING THE PROJECT Projects funded under Expanded Authorities (University has been given additional authority) must be initiated by PI and submitted through OSP for review and approval. Once approved by OSP sponsor will be notified of the extension.

9. CERTIFICATION PROGRAM CONDUCTING & MANAGING THE PROJECT

10. CERTIFICATION PROGRAM CONDUCTING & MANAGING THE PROJECT Projects not funded under Expanded Authorities, PI should forward letter of request (if applicable) to OSP for review/approval prior to submission to sponsor. Request amount of time needed to complete project. We suggest 12 months, but no less than 6 months.

11. CERTIFICATION PROGRAM CONDUCTING & MANAGING THE PROJECT Sponsors may not consider a second extension request. Second no cost extensions usually require more detailed justification plus a direct review by the sponsor. Always review your terms and conditions of your award and contact OSP for guidance.

12. CERTIFICATION PROGRAM CONDUCTING & MANAGING THE PROJECT Equipment /Property Management Why is property important? Aside from personnel, it is the largest expenditure category in research administration and the potential for the misuse, disappearance or abuse in an open university setting is perceived

13. CERTIFICATION PROGRAM CONDUCTING & MANAGING THE PROJECT to be high risk by sponsors. Principal Investigators and their teams sometime forget that the property is owned by the university or sponsor and not titled to them, their lab or their department. They are the stewards of the property and are accountable for that property.

14. CERTIFICATION PROGRAM CONDUCTING & MANAGING THE PROJECT Another common problem is PIs receive “excess” or “loaned” items provided by technical representatives and have not gone through the GFP procedures. If this occurs corrected procedures are required after the fact which required additional work and more hassles than if handled correctly when property received.

15. CERTIFICATION PROGRAM CONDUCTING & MANAGING THE PROJECT Title to property acquired by the university under grants or cooperative agreement normally pass to the university, relieving them of reporting responsibilities. However, do not be lulled into complacency, because some federal agencies reserve the right to take title back within 120 days of project conclusion. So actually,

16. CERTIFICATION PROGRAM CONDUCTING & MANAGING THE PROJECT Title is only on a conditional basis. Under the New UG – 2 CFR Section 200.313 allows title to go to the university for property and supplies, but establishes conditions controlling use and disposition of property. Federal contracts use FAR 52.245-1 and title remains with the government.

17. CERTIFICATION PROGRAM CLOSE OUT(S) - DEFINITION Award closeout is the process of documenting and assuring the fulfillment of the terms and conditions, certifying awardee compliance with applicable regulations and making final disposition of all award by- products, such as final vouchers, reports, patent disclosures and property. Closeout requirements are normally reflected in the terms and conditions of the award document. Though some of the closeout processes are shared, the closeout of grants and cooperative agreements varies in important ways from the closeout of contracts. In addition, most federal agencies now require electronic submission of final reports.

18. CERTIFICATION PROGRAM CLOSE OUT(S) - IMPORTANCE It is important that closeout procedures be adhered to and timely submission of reports shall be done to alleviate the threat of sponsors suspending payment for cost incurred by the University on the project being completed and other projects funded by the sponsor and, in the worst case scenario, withholding of new awards campus-wide. Government acceptance of the awardee final deliverables and reports is critical to the overall success of the project. In many instances, final acceptance initiates the release of final payments and ultimately leads to release of the awardee lingering obligations under the award.

19. CERTIFICATION PROGRAM CLOSE OUT(S) - RESPONSIBILITY  The Project Director is ultimately responsible for preparing and submitting the required documents with or without notification on the date due to the sponsor.  Departmental Personnel may help in collating and verifying that the information has been submitted.  OSP is responsible for maintaining records for non-financial close outs  C&G Accounting is responsible for submitting Final Financial Reports  It is highly recommended that the department keep copies of all reports for their records (Paper and/or Electronic)  There is no “standard closeout instruction list” as each sponsor has different requirements. However, the following basic reports are the types of documentation generally required by the sponsor:

20. CERTIFICATION PROGRAM CLOSE OUT(S) – TECHNICAL REPORTS Technical/Narrative/Progress Reports – Project Director is responsible for the timely submission of monthly, quarterly, annual and final reports (as required). At times the sponsor will require the signature of the authorizing official of the institution on final reports. Project Director (Professor – PI) Department OSP

21. CERTIFICATION PROGRAM CLOSE OUT(S) – COST REPORTS Cost Reports – All financial reporting to the sponsor will be provided by Contracts and Grants Accounting.

22. CERTIFICATION PROGRAM CLOSE OUT(S) – PATENTS/NEW TECHNOLOGY REPORTS/INVENTIONS Patents/New Technology Reports/Inventions – This information is provided by the Project Director and given to Office of Sponsored Programs to be submitted to the sponsor. If new technology/patents exist, this information will be verified by the Office of Technology Transfer. Project Director (Professor – PI) Department OSP

23. CERTIFICATION PROGRAM CLOSE OUT(S) – PROPERTY/EQUIPMENT Property/Equipment – This is government furnished, equipment purchased on award or loan equipment. Inventory list must contain, at a minimum: 1) Contract number 2) FOAP (Banner number) 3) Property identification number 4) Name/description 5) Manufacturer’s name, model number and serial/part number 6) Unit cost 7) Total cost 8) Source (Government-furnished Equipment or contractor acquired) 9) Condition code 10) Date purchased

24. CERTIFICATION PROGRAM CLOSE OUT(S) – SUBCONTRACTS Subcontractors – Subcontractors are required to provide all closeout documents to the Auburn Project Director or Office of Sponsored Programs and must be included within the final documentation provided to sponsors. If equipment is purchased on a subaward, a detailed inventory listing must be provided. The required documents can be found at: https://fp.auburn.edu/vpr/osp/subagreements.aspx Leigh Stephens (OSP)

25. CERTIFICATION PROGRAM CLOSE OUT(S) – AGENCY National Institutes of Health (NIH) Unless the Grants Management Officer grants an extension, grantees must submit: 1. Final Financial Status Report 2. Final Progress Report 3. Final Invention Statement and Certification Department of Defense (DOD) 1. Standard Form 272 Federal Cash Transactions Report 2. Final Scientific Report 3. Patent Report (Form DD 882) 4. Deliverables (Form DD 250) 5. Government Furnished/Owned Property (Form DD 1662). A detailed listing of property and letter of disposition is required, as applicable. 6. Final Security Closeout (Form DD 254), as applicable

26. CERTIFICATION PROGRAM CLOSE OUT(S) – AGENCY National Aeronautics and Space Administration (NASA) 1. Final Standard Form 272 2. Final Summary Report 3. Final Inventory Report of Federally Owned/Furnished Property (Form DD 1018). A detailed listing of property and letter of disposition is required, as applicable. 4. Final patents report (new technology) (NTR on line) Department of Energy (DOE) 1. Scientific/Technical Report (DOE Form 241.3) Must be submitted electronically via the DOE Energy Link System (E-link) 2. Patent Certification 3. Property Certification 4. Final Financial Status Report National Science Foundation (NSF) 1. Final Federal Financial Report 2. Final project report must be submitted electronically via the NSF Fastlane system 3. Project outcomes report for the general public must be submitted electronically via Research.gov

27. CERTIFICATION PROGRAM CLOSE OUT(S) – TIME LINE 90 Days Prior to End Date: 1. Determine whether a no-cost extension will be necessary? 2. Have the necessary requirements been met (i.e., cost-sharing, reports, deliverables, etc.)? 30 Days Prior to End Date: 3. Review encumbrances/purchase orders. 4. Review subagreement billing activity and their cost-share reporting (as applicable). 5. Confirm that all expenditures are accurate and allowable. 6. Review and confirm all cost-share / in-kind commitments (as applicable). 7. Review personnel expenditures (work with the appropriate departmental staff to confirm the specific date to which salaries will no longer be charged to the project).

28. CERTIFICATION PROGRAM CLOSE OUT(S) – TIME LINE After Project End Date: 8. Request final invoice and close out documents from subrecipients. Work with the Office of Sponsored Program (OSP) to close out any subagreements and unencumber any excess funds (as applicable). 9. Submit all forms, reports and clearances (if required): a. Final patent/invention report (through OSP); b. Final property report (through OSP). Prepare government-furnished equipment that is to be returned to Sponsor; c. Final technical report to Sponsor; and d. Final financial report (submitted by Contracts and Grants Accounting). NOTE: Closeout of a grant does not automatically cancel any requirements for property accountability, record retention, or financial accountability. Please be sure to read the terms and conditions of each award for a full understanding of the reporting process.

29. CERTIFICATION PROGRAM CLOSE OUT CONTACTS Office of Sponsored Programs  Main Number844-4784  Gene Taylor (Dir.)844-5956taylol2@auburn.edutaylol2@auburn.edu  Diane Anderson844-5931andersd@auburn.eduandersd@auburn.edu  Leigh Stephens844-5957hopkils@auburn.eduhopkils@auburn.edu  OSP Administrator844-4438ospadmn@auburn.eduospadmn@auburn.edu  Fax844-5953 Contracts and Grants Accounting  Main Number844-4847  Larry Hankins (Dir.)844-4847hankill@auburn.eduhankill@auburn.edu  Gina Bailey844-4847bailerh@auburn.edubailerh@auburn.edu  Beth Morgan844-6190morgaej@auburn.edumorgaej@auburn.edu  Melissa Martin844-6192martimm@auburn.edumartimm@auburn.edu  Fax844-4844