Award closeout

Continue discussions with PI regarding project status and future plans (based on sponsor guidelines)

• Will NCE be requested? If so, see NCE guidance
• Will IRB Protocol continue? If yes, discuss applicable system requirements with research staff
• Review projected expenses with PI and update projections. If cost overrun anticipated, confirm with PI how deficit will be managed. If balance anticipated, review sponsor guidelines with PI
• Contact internal sub(s) to communicate project ending to clarify reporting responsibilities and management of WBSE balances for project

• Review sponsor and award specific terms to ensure compliance with guidelines (CAS, effort requirements, cost sharing, tuition remission, etc.)

• Begin dialogue with subrecipient, reminding them of final invoice due date and reporting requirements.
• Confirm receipt of consecutive invoices. Research and resolve outstanding invoice issues.

• Identify projects that are ready for initiation of the closeout process and the required documents
• Confirm closeout docs due dates and sponsor due dates

• Review personnel allocation with PI and discuss updates to personnel plans with Business Manager/HR
• Review & update with additional projected expenses from PI/lab/research coordinators

• Review to identify non-compliant project line items and make corrections

• Create a new Tasklist for closing WBSE
• Determine applicable sections & questions and make notes
• QRG for closeout tasklist

• Review expenses for accuracy and compliance, address any budget vs actual concerns
• Plan for cost overrun or carry forward, if applicable
• Address unresolved CAS/rebudget issues

• Review WBSE’s backstop code

• Review project data for closeout guidance (Federal award, due dates, LOC attribute, etc.)

• Complete NCE request with Sponsor through SPS, if applicable
• Continue conversations with PI

• IRB Protocol Status – continue conversation with PI and Research Staff
  • Request eIRB status update
• Identify and resolve any CAS items
   

• Follow up with subrecipient if concerned with ability to meet final invoice or technical report deadlines

• Discuss plans for new effort distribution(s) with PI or Business Manager 
• Initiate communications with collaborating departments to plan for cross departmental effort changes
• Resolve outstanding purchase order obligations and existing standing purchase orders

• Monitor progress of Tasklist sections

• Confirm project effort requirements have been met (Weighted Average Report)

• Update questions and sections as progress is made

• Review expenses for accuracy and compliance
• Resolve outstanding CAS items and ensure documentation is in place for reviewable G/Ls

• Notify PI, lab manager, staff, etc. that WBSE will be ending soon and should not be used for procurement or with any internal billing entities (DLAR, IRs, etc.) after the project end date
• Communicate approaching project end with CorporateCard/Concur Rep to expedite pending transactions
• Review programmatic reporting requirements and balance projections with PI

• IRB Protocol Status – continue conversation with PI and research staff
  • Request eIRB status update
  • Update status with Maestro Care, submit request 1 week prior to project end (if applicable)
• Address all outstanding CAS concerns and rebudgets
   

• Follow up with subrecipient regarding reporting and invoicing deadlines

• Remove effort distributions that occur after the project end date
• Resolve outstanding purchase order obligations

• Identify and expedite the processing of pending workflow items, including iForms transactions

• Monitor progress of Tasklist sections

• Initiate cost distribution changes to reallocate effort (Employee Data Search)
• Follow up on cost distribution changes submitted but are still pending approval in workflow

• Complete questions in applicable sections

• Review expenses for accuracy and compliance
• Ensure appropriate budget amounts are in place for any CAS items

• Reinforce expectations with Internal Subs (closeout responsibility roles, reporting needs, balance mgmt)
• Advise lab & departmental staff that WBSE is no longer available for use
• Notify CorporateCard/ Concur Rep that no new charges should be posted
• Update CoreResearch & notify internal service centers that WBSE is closed.  Provide new code if needed
• Complete Obligations Worksheet if applicable (Training Grants only)

• IRB Protocol Status – Confirm eIRB status update
  • Submit Maestro changes 1 week prior to project end date (if applicable)
  • Confirm requested changes have been made in Maestro Care (if applicable)
• Resolve remaining CAS concerns and confirm completion of all rebudgets

• Confirm final invoice amount and remaining budget balance
• Obtain final invoice & reports as needed
• Follow appropriate business unit process when approving final invoice payment via eCR

• Confirm all payroll obligations have been removed
• Resolve outstanding procurement obligations

• Confirm all workflow items have been resolved, including workflow for iForms transactions

• Complete remaining questions and resolve items previously indicated as “In-Progress”

• Finalize Estimated Project Balance required on PI Attestation 
• Generate & submit for PI approval

• Review for accuracy and compliance
• Ensure consistency between expense categories and completed Closeout Tasklist sections
• Confirm no unallowable expenses remains

• Verify WBSE backstop code is accurate 
• Confirm GM1/GM2 fields are entered and align with business unit process for Modified iForms Workflow and Transfer Off Tool

• Review programmatic reporting requirements with PI
• Discuss ending WBSE/project balance and handling of balance with PI. Cost overruns will be transferred to the backstop code; unobligated balances will be relinquished to the sponsor; residual balances will be managed based on institutional policy (Refer to GAP 200.185 Fixed-Price Residual Balance Transfer and Fixed-Price Residual Balance Transfer Quick Reference Guide) 
• Confirm handling of project ending balance, including all subcodes. (Refer to Balance Netting at Project Closeout Quick Reference Guide)
   

• IRB Protocol Status – Request eIRB status update
  • Confirm status with Maestro Care (if applicable)

• Verify current status of final invoice 
• Provide amount of expected outstanding invoice(s) and status on Closeout Tasklist if final invoice not yet posted in SAP- estimated external subcontract invoice can be entered into closeout tasklist and submitted prior to receipt of final invoice 

• Ensure there are no future effort allocations
• Confirm all obligations have been removed prior to submission of Tasklist

• Verify no workflow items exist, including iForms transactions

• Ensure no CAS items remain unresolved

• All sections should be 100% complete or N/A; if any barriers are identified, contact your Implementation Team for guidance prior to submission

• Must be submitted to PI for approval prior to submission of Closeout Tasklist- both tasklist and PI attestation can be in workflow at the same time
• PI must approve prior to completion of the final financial reports by PAFM

• Manage the progress of required closeout documents
• Monitor the status of closeout documents (includes parent and sub status)

• Obtain status of final invoice from external subrecipient(s)

• Confirm all unallowable expenses have been removed and confirm correct GLs are being used prior to routing of closeout tasklist
• Verify all cost sharing requirements have been met
• Review balance is as expected/projected – ledger should be reportable at time of tasklist submission

• Verify that PI effort is on WBSE if applicable (includes trainees and fellows as well)
• Be sure to make sure there is no payroll after the project end date still on the WBSE especially if there are codes in outside departments

• Manage late activity as it occurs. Contact the Award Management Team for guidance

• Monitor the status of user-submitted forms to ensure timely review/approvals in workflow 
  • ETL = Electronic Closeout Tasklist
  • PIA = PI Attestation
  • POW/OWS = Obligation Worksheet

• Monitor timely processing and approval of all forms required for closeout (list by WBSE)
• Monitor PI approval of the Attestation which must approve prior to completion of the final sponsor reports

• Monitor timely processing and approval of all forms required for closeout (list by WBSE & form type)

• Review WBSE for activity until project is closed in SAP
• If notified of late activity, review transactions (Refer to Management of Late Activity Notifications Quick Reference Guide)

• Confirm submission of Programmatic Reporting as required by sponsor (assist PI with completion as necessary)

• Confirm final eIRB status
• Confirm Maestro changes have taken place

• Monitor the status of user-submitted forms
  • ETL = Electronic Closeout Tasklist
  • PIA = PI Attestation
  • POW/OWS = Obligation Worksheet

• View fully approved documents
  • ETL = Electronic Closeout Tasklist
  • PIA = PI Attestation
  • POW/OWS = Obligation Worksheet

• Confirm submission of financial and other sponsor required reporting by designated due date
• Provides information is revised reports are submitted to sponsor

• Monitor activity until WBSE has reached a closed status in SAP
• If notified of late activity, review transactions (Refer to Management of Late Activity Notifications Quick Reference Guide)
• Ability to obtain copy of final invoice submitted to sponsor

• Ability to view WBSE system status
• Ability to view or download a copy of final financial report submitted to sponsor