**Ernest Orlando Lawrence**

**Berkeley National Laboratory**

**Close-Out Guidelines - ER-LTR Projects**

This procedure is for closing out projects in the ER-LTR Partnership
Program (Energy Research Laboratory Technology Research Program).
Informative, well-documented final reports are an important part of the
ER-LTR Program. Other necessary steps for close-out are also covered.

The key documents are:

> • **Final Technical Report**
>
> • **Abstract of the Final Technical Report**

Besides a scientific documentation, the reports will be used to judge
the effectiveness of the program and may influence future funding to
this Laboratory. This procedure applies to all ER-LTR projects,
including CRADAs (Cooperative Research and Development Agreements),
Personnel Exchange projects and Technology Maturation projects. Future
project funding may consider compliance with this procedure.

Questions should be directed to ER-LTR Program Management, in the Lab\'s
Technology Transfer Department:

Chris Kniel

Location: Bldg. 90, room 1139; mail stop 90-1070; phone: 486-5566; fax:
486-6457

E-mail: CRKniel@lbl.gov

Close-out encompasses the following steps.

**1. [Final Reporting Requirements]{.underline}**

**Final Technical Report.** The Final Technical Report is intended to be
technical in nature. It should discuss objectives, work accomplished,
deliverables, and results. It should document further areas of research
to be explored, along with the benefits arising from the project, in
accordance with ER-LTR guidelines. The report must also list any
invention disclosures or publications arising from the project. If
software was produced, the code must be made available; see CRADA for
details. Generally each CRADA also provides specific content
requirements for the final report. The report narrative should fall
somewhere between 5 to 15 pages without attachments.

**Content.** The organization, format and content of the Final Report is
generally within the purview of the PI and his/her industry partner. The
report is intended to be technical in nature and discuss objectives,
work accomplished, deliverables, and results. It should document further
areas of research to be explored, along with the benefits arising from
the project. Additionally, the report should address the research
findings and their significance. What were the project's initial
objectives? Were some of the objectives revised as the research
developed? Were these objectives met? What were the successes? What
worked? What did not? What are desired and appropriate next steps? Why
do we care? Who benefits? When will the benefits be realized?

**Public Release.** Without diluting the technical value of the Final
Technical Report, reports that are suitable for public release are
preferred. Final reports that meet the following conditions are
considered suitable for public release:

\(1\) Neither LBNL nor the Industry Partner asserts any claim to
information contained in the final report as qualifying as \"Protected
CRADA Information\"

\(2\) LBNL and the participant have no objection to public distribution
of the final report (PI gets approval from Industry Partner)

\(3\) The final report contains no proprietary information.

**Acknowledgment.** The final report\'s credit line should read:

This research was supported by the Laboratory Technology Research
Partnership Program, Office of Energy Research, US Department of Energy
under a CRADA (Cooperative Research and Development Agreement) \[or
reference the appropriate contracting mechanism, e.g., Personnel
Exchange, Technology Maturation Project\] between Lawrence Berkeley
National Laboratory and \[name of company and location\] under US DOE
Contract DE-AC03-76SF00098.

**Abstract of the Final Technical Report.** Along with the final report,
the PI shall provide an abstract of the final report. The abstract must
be suitable for public release. The abstract should be up to 1 page in
length and should represent the PI\'s technical and management summary
of the project.

**Where to Send the Report and Abstract.** The PI should send the report
and abstract to:

\(1\) LBNL Tech Transfer (CRKniel@lbl.gov). For the abstract, electronic
submission is required.

\(2\) LBNL\'s Report Coordination Office (x6504, repcoor@lbl.gov). This
group will submit the report to DOE\'s Office of Scientific and
Technical Information for inclusion in DOE\'s Information Bridge. This
will make the full text available to the public. (Note: In case the full
Final Technical Report is not publically releasable, only the abstract
would go to Report Coordination.)

\(3\) The industry partner.

Lab-Wide Requirements for Publications

Lab-wide requirements for publications apply. These are summarized at:\
http://www-library.lbl.gov/Library/epub/labpub.html

**2. [Verification of Project Completion]{.underline}**

Approximately 30 to 60 days before the stated contractual completion
date in the CRADA, the Principal Investigator (PI) should contact the
Technology Transfer Department (ER-LTR Program Management) to verify
that the work under the CRADA will be completed as scheduled in the
CRADA.

If the work (including the final reports) will be completed within the
stated contractual period of performance, the PI will follow the
requirements below.

If the work will not be completed, the reasons will be documented and a
request for schedule extension stating reasons and the new completion
date request shall be transmitted to the Technology Transfer Department.
Tech Transfer will approve or reject this request. Reasonable requests
generally will be granted.

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  **3. [Verification That Commitments Were Met]{.underline}**

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The PI will confirm that the commitments defined in the CRADA or Work
Plan have been met. This includes both LBNL and industrial partner
commitments. The attached \"CRADA Closure Checklist\" will be used as a
guide to document the completion of commitments.

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**4. [Disposition of Property]{.underline}**

CRADA tangible property procured or transferred will be identified and
appropriately handled. Assets to be returned to the partner will be
packed and shipped FOB destination.

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  **5. [Account Closing]{.underline}**

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The Division will take the normal steps to close the accounts and advise
Tech Transfer of the account number and date of closing.

**6. [Retention of Records]{.underline}**

The CRADA contract file maintained by the Sponsored Projects Office and
the project files maintained by the PI are official documents that must
be retained for 7 years or as stated in the CRADA. The project will
comply with Lab-wide policies on archives and records. Refer to the
Archives and Records Office:\
http://www-library.lbl.gov/aro/\
and \"Archives and Records Management,\" Section 1.16 of the Regulations
and Procedures Manual:\
http://www.lbl.gov/Workplace/RPM/R1.16.html

**CRADA CLOSURE CHECKLIST**

[FINAL REPORT AND ABSTRACT]{.underline}

\_\_\_\_ PI has completed the Final Technical Report and an abstract of
the Final Technical Report.

\_\_\_\_ PI has obtained a clearance from partner for public release of
the abstract and (usually) of the Final Technical Report.

\_\_\_\_ PI has submitted to the Patent Dept. invention disclosure (s)
for all previously unreported inventions developed under the CRADA,
including partner invention disclosures; PI has confirmed with the
partner that other than newly disclosed inventions (as above) all CRADA
subject inventions have been disclosed.

\_\_\_\_ PI has requested an appropriate report number from LBNL\'s
Report Coordination Group on the web
(http://www-library.lbl.gov/Library/forms/pwo/req_lbnl_number.html).

\_\_\_\_ The PI has submitted a document submission form, available from
the web (http://www-library.lbl.gov/Library/forms/pwo/index.html),
signed by an authorized Division Reviewer, to Report Coordination with a
paper copy and electronic copy of the report.

\_\_\_\_ PI has distributed the Final Technical Report and the abstract
to Tech Transfer and the Industry Partner.

[PROPRIETARY INFORMATION]{.underline} Date obligation terminates:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_ PI warrants that disposition of all proprietary information has
been documented in a permanent log book before the expiration of the
agreed obligation. Proprietary information shall be returned to the
originator or destroyed.

PROTECTED CRADA INFORMATION Date obligation terminates:
\_\_\_\_\_\_\_\_\_\_

\_\_\_\_ PI assures that disposition of all CRADA Protected Information
has been documented if performed before the expiration of the agreed-to
obligation in the CRADA. Information shall be sent to the partner,
contained in documents sent to LBNL archives, or destroyed.

DISPOSITION OF PROPERTY

\_\_\_\_ PI confirms that the disposition of all tangible property has
been discussed and agreed to with the Industry Partner as per the CRADA
contract.

PROJECT FILES

\_\_\_\_ PI has placed all official project files in the appropriate
LBNL archives and secured as required.

COST ACCOUNTING (Division Administration, CFO)

\_\_\_\_ The Division and the PI have verified that no outstanding
accruals or uncosted expenses exist for this project, and that
expenditures have not exceeded what was authorized.

\_\_\_\_ Division Administration and Chief Financial Officer (CFO) have
closed all cost collecting accounts associated with this CRADA.