Closeout Status

Agency-Specific Instructions: Closeout has different policies in place according to the agency who funds the award. Look for agency-specific instructions in this topic to determine if guidance applies to your award.

Closeout is a status in which an awardee needs to prepare and submit the information necessary to complete grant closeout requirements. Before closeout begins, all financial and progress reports need to be submitted and accepted by the awarding agency.

You can use the Status module to search for awards in various stages of Closeout and then submit required documentation or otherwise complete the closeout activities. The closeout tasks differ depending on the agency that funded the award.

Agency-Specific Instructions: Department of Commerce (DOC). Once closeout is initiated, DOC awardees can no longer modify and resubmit a semi-annual RPPR.

More than one person can work on closeout activities. PIs can initiate closeout activities and upload files and save the closeout submission package, but only SOs for the award-holding organization can submit all final reports/documentation.

If you hold a signing official (SO) or principal investigator (PI) role, you can access the Closeout Status screen to perform the following:

  • Track your grants that are in Closed status
  • Submit reports required for closeout (only SOs can submit)
  • Initiate/access Final Research Performance Progress Reports (RPPRs)
  • Submit any requested additional material (FRAM) related to your Final Research Performance Progress Report (Final RPPR)
  • Initiate/access Final Progress Reports (FPR) (Department of Commerce awards only)
  • Access the Federal Financial Report (FFR) module of Commons, where you can start the Federal Financial Reports (you must have an FSR role in addition to the SO role*). For awards from most agencies, the FFR module redirects you to the federal Payment Management System (PMS) to complete/submit the report. For Department of Commerce awards, you can complete and submit the report within eRA Commons’ FFR module without accessing PMS.
  • Initiate/access Final Progress Reports (FPR) (Department of Commerce awards or SAMHSA awards only)
  • Provide documentation for the Additional Closeout Documentation requirement (Department of Commerce awards only)

NOTE: *A user with the FSR role only can go directly to the FFR module and work with FFRs, but cannot access Status or closeout screens.

On the Status module's Closeout search screen, an SO can use the Closeout Status search dropdown to limit search results to awards in the following statuses:

  • Requires Closeout: Grant has not completed the closeout process
  • Closed: Grant has completed the closeout process
  • In Unilateral Closeout: Grant is currently in the process of being unilaterally closed (see Health and Human Services-Specific Guidance for Award Closeout section below)
  • Unilaterally Closed Grant has been unilaterally closed by the IC (see Health and Human Services-Specific Guidance for Award Closeout section below)

The Closeout Status screen appears after you select one of the following actions from a grant: Closed, In Unilateral Closeout, Requires Closeout, or Unilaterally Closed. (See Accessing the Closeout Screen (SO and PI) Unilateral closeout is closeout without receipt of acceptable final reports for those recipients that are not in compliance with the policy.

The Closeout Status screen contains a list of requirements for closeout. Each requirement has an instruction, the status of the requirement, and an Action column. If the grant is still open, review the requirements, read the instruction for each, and take actions to complete Closeout activities. Actions are role-based, so persons with different roles will closeout different requirements. Be sure that you possess the role as described in the Instruction column.

Initially, there are actions buttons in the Actions column for a closeout activity, starting with “Initiate…” or “Manage…”. After a report is started and saved, but not submitted, those buttons change to “Edit…”, which lets you review and change the report before submission. After submission, the buttons change to “View”, whereupon no further changes can be made. Some reports allow repeated initiation and resubmission of the report and action buttons are named accordingly.

If the award is already closed, you might have the option to view submitted material with a View link. If the award is in Unilateral Closeout, links might be available in the Action column unless requirements have been closed by grants management staff, in which case you do not see the links. When Unilaterally Closed, links are not available.

Agency-Specific Instructions: NIH. The material in this section applies to NIH-funded awards only. If your grant is funded by a different agency other than NIH, check with your grants management specialist for specific policy guidance on closeout.

Policy: Closeout policy information

NIH closes out grants as soon as possible after expiration of a grant that is not to be extended or after termination of a grant. Closeout includes timely submission of all required reports and adjustments for amounts due the grantee or NIH. Closeout of a grant does not automatically cancel any requirements for property accountability, record retention, or financial accountability. Following Closeout, the grantee remains obligated to return funds due, because of later refunds, corrections, or other transactions, and the Federal Government may recover amounts based on the results of an audit covering any part of the period of grant support.

Notes about Interim RPPR and Final RPPR

  • The Interim RPPR (IRPPR) is used when you are submitting a Competing Renewal application (Type 2). If you opt NOT to apply for a Competing Renewal, complete the Final RPPR as you normally would within 120 days of the project end date. If you are going to complete a Competing Renewal application (or have already submitted such an application), you will submit an Interim RPPR. This must be submitted within 120 days of the project end date.
  • If you are awarded the renewal, the Interim RPPR will be treated as your annual RPPR and no other progress reporting will be needed for that segment of the study. If the application is NOT awarded, then the Interim RPPR will be accepted as the Final RPPR.

Agency-Specific Instructions: Health and Human Services (HHS). This section describes unilateral closeout policies of the U.S. Department of Health and Human Services (HHS).

HHS has issued a directive to agencies on new policies for closeout of grant awards. NIH has revised its policies and procedures to align with the OER Policy Announcement 2014 regarding the guidance on implementation of HHS GPAM Chapter 1101 (Closeout), including Unilateral Closeout.

The policy chapter directs Institutes/Centers (ICs) to initiate a unilateral closeout – a closeout without the cooperation of the grantee – 180 days after the project end date if it has not received acceptable final reports required by the terms and conditions of an award. After making reasonable efforts to obtain the final reports ICs must close all awards no later than 270 days after the project end date. This substantially decreases the timeframe in which NIH must officially close a grant after the project end date.

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