1. Office of Sponsored Programs
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Office of Sponsored Programs
Post-Award
Closing an Award
Why is closing an award so important?
Here’s an example:
In November 2004, a request was denied for $86,000 on an award because the request came after the closeout period.
2/19/2019
Closing an Award
Closing an Award

2. Office of Sponsored Programs Post-Award Staff
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Office of Sponsored Programs Post-Award Staff
Post-Award Director:
Jeanne Wicks
Assistant Director:
Mike Behne
Training and Web Resource Development:
Ginny Gross
Legal Intern:
Heather Smith
Post-Award staff members look upon their relationships with faculty researchers as partnerships involving close communication and cooperation. Post-Award staff members are committed to timely and effective support of UNL faculty across the spectrum of the university’s research collaborations.
2/19/2019
Closing an Award
Closing an Award

3. Post-Award Project Specialists
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Post-Award Project Specialists
Kathy Anderson
Deb Arent
Donna Douglas
Shelly Hardies
Kathi Malone
Joyce Schuette
Specialists are assigned to work with individual UNL colleges.
College assignments are available on our website at:
Since award funding varies by college, specialists must familiarize themselves with the specific regulations for each award.
2/19/2019
Closing an Award
Closing an Award

4. Session Topics Prior to proposal submission
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Session Topics
Prior to proposal submission
Actions/reports monthly throughout the award
Actions prior to end date
Closeout actions after end date
days
days
days
Afterward:
Documentation/Retention
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Closing an Award
Closing an Award

5. Prior to proposal submission
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Prior to proposal submission
Avoid burdensome administrative requirements.
Don’t volunteer cost share.
Consider the closeout process when you prepare the proposal. Plan for closeout before the award is signed and submitted.
Watch for excessive requirements that may cause you a lot of paperwork. (e.g., copies of all invoices or monthly technical reports)
Cost share = more required documentation (e.g., PARS, copies of invoices).
Plan ahead!
2/19/2019
Closing an Award
Closing an Award

6. Reports monthly throughout the award
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Reports monthly throughout the award
Y_UNS_ Administrative Summary WBS Supplement
High level summary/breakdown by categories, such as salaries and operating expenses.
Y_UNS_ WBS: Rev/Exp Summary
Mid level summary/breakdown by GL Account Code such as postage and printing expense.
CJ74 - WBS Detail Line Items
Detailed transaction information
Each of these reports provides information at a different level. Your audience’s needs should determine which report you select.
PIs should receive reports throughout the award.
2/19/2019
Closing an Award
Closing an Award

7. Actions monthly throughout the award Correct SAP reports if needed.
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Actions monthly throughout the award
Correct SAP reports if needed.
Ask yourself . . .
“Am I on track to complete this project by the end date?”
Retain documentation for review and audits.
Obtain cost share documentation.
Complete Personal Activity Reports (PARs).
Make needed corrections immediately. Late or excessive transfers are a ‘red flag’ for auditors. Transfers after the closeout period are not permitted.
Ask someone about a particular report if you don’t understand it. The end of the award is too late to review SAP reports.
If you have spent only 10% of the award and 75% of the award period is gone, you may have a problem.
PARs can give you an indication if payroll changes are needed.
2/19/2019
Closing an Award
Closing an Award

8. Actions prior to end date SAP workflow message = action alert!
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Actions prior to end date
SAP workflow message = action alert!
SAP workflow messages appear:
90 – 60 – 30 days before end date
if award is in deficit status
Workflow messages are a tool to use to identify a problem or determine if action is required.
Deficits can be caused by commitments. For example, sometimes budgets include student workers who are employed only for specific academic terms, and not throughout the award.
Track any costs transferred off an award because you have overspent. If you have a cost disallowed in an audit, you may be able to trade for these items.
2/19/2019
Closing an Award
Closing an Award

9. Cost extensions aren’t guaranteed. To request, document:
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Actions prior to end date
Will an extension be needed?
Cost extensions aren’t guaranteed. To request, document:
- timeline progress
- projected time for completion
- projected completion challenges
Process PARs and keep them current.
Complete all required technical reports and retain documentation of
their submission.
Stop incurring internal charges.
Liquidate commitments.
“I still have money to spend isn’t a good reason to extend.”
Extensions require:
30 – 60 days if sponsor approval is needed
15 – 30 days if UNL approval is needed (We still must notify the sponsor within timelines.)
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Closing an Award
Closing an Award

10. Closeout actions 30 days after the end of the award Remember . . .
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Closeout actions 30 days after the end of the award
Remember . . .
90 days means that all UNL work is complete.
Post-Award needs time for project completion after the department’s work is finished.
Everything Post-Award accomplishes builds on your accomplishments. As UNL faculty and staff members, we all must ensure that we succeed in our roles on behalf of the university. To do that, you will need to complete your work on time, so that we can complete our work.
Reminders: Project closeout timeline is based on 90 days. If your grant has fewer days, then your timeline is shorter.
2/19/2019
Closing an Award
Closing an Award

11. Closeout actions 30 days after the end of the award
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Closeout actions 30 days after the end of the award
Focus on Department tasks during first 30 days . . .
Pay all outstanding invoices.
Remind subgrantees to submit invoices.
Review and adjust SAP financial reports as needed.
Complete PARs.
Pay bills and complete paperwork during the first 30 days after the end of the award.
Contact your grant specialist if for some extraordinary reason, it is not possible to pay all bills within 30 days.
Maintain current PARs.
Residual Inventory of Unused Supplies – If you have $5,000 of unused supplies at the time of termination, we are required to reimburse the government for its fair share of the supplies. Provide documentation if you have this problem.
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Closing an Award
Closing an Award

12. Focus on Post-Award tasks and central billings.
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Closeout actions 30 to 60 days after end of award
Focus on Post-Award tasks and central billings.
Post-Award finalizes adjustments.
Post-Award reviews SAP financial reports.
Department verifies completeness and accuracy of records.
SAP intramurals post.
(“24” grants)
Intramurals include JEs, PJs and other adjustments. They post in the state’s accounting system so that we can reconcile for closeout. (With “24s,” there is a one-to-one correlation of WBS numbers and their business units. The state’s books are the official record for these types of awards.)
2/19/2019
Closing an Award
Closing an Award

13. Closeout actions 60 to 90 days after end of an award
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Closeout actions 60 to 90 days after end of an award
Focus on completing reports.
Post-Award requests final reimbursement.
Post-Award files financial report:
financial – Final 269, 272, 270
contractor’s release
inventions & subcontracts
property certification
MBE/WBE
contractor’s assignment of:
refunds, rebates, credits & amounts
final/equipment property report
cumulative claim & reconciliation statement
agency specific closeout documentation
60 to 90 days
Post-Award and central billings post. (Departmental financial work should have been completed within the first 30 days.) No departmental financial work should be done at this time.
Complete final reports (Post-Award, PI, financial and technical).
Complete PARs after the end of the award.
Be sure that changes noted in PARs appear in Payroll reports.
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Closing an Award
Closing an Award

14. Closeout actions 60 to 90 days after end of an award
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Closeout actions 60 to 90 days after end of an award
PI submits final technical or progress report.
PI completes PARs.
Technical report note: Retain documentation of final technical report submission. Without final technical report, final payment may be delayed. If payment is not received by the funding agency, the department will be responsible for this amount. (Post-Award has seen one or two cases in which this process continued for two to three years. It appears that payment won’t be made.)
2/19/2019
Closing an Award
Closing an Award

15. Afterward Documentation: Retention: PARs Invoices Financial reports
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Afterward
Documentation:
PARs
Invoices
Financial reports
Copy (or evidence of) final technical or progress report
Cost share (outside of PARs)
Retention:
5 years after filing final report
Multi-year awards
Store documentation centrally
Retain project notes with documentation
Retention Guidelines
Post-Award retains copies of PARs. Be sure that we have them – especially if you
destroy yours.
Retain a copy of the invoice if you cost-shared an expenditure.
Post-Award retains copies of financial reports that we have submitted. Keep all financial reports (e.g., Excel files) supporting grant expenditures or allocations.
Obtain copies of FINANCIAL s and final technical reports (or evidence of final technical report submission) from the PI for your departmental files.
If there is any litigation, claim or audit before the expiration of the retention period, records must be maintained until all litigation, claims and findings have been resolved and final action taken. (This also applies to the records of sub-grant recipients.)
Records for property and equipment must be retained for three years after final disposition. This may be longer than the retention time for other records.
Original invoices for operating expenses specifically authorized in the award are submitted to UNL Accounting. Retain copies in the grant file.
Any records we have may be subject to audit. Destroy financial records for the time periods prior to the retention period.
Could the department make it through an audit if the PI were to leave? Develop a policy on technical and scientific records retention.
2/19/2019
Closing an Award
Closing an Award

16. Audit Documentation: Invoices PARs Technical/progress reports
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Audit
Documentation:
Invoices
PARs
Technical/progress reports
Other information as specified in award
Audit
If you or your PI is contacted about an audit, contact Don Holdegraver, Director, Operations Analysis, or Post-Award staff immediately.
2/19/2019
Closing an Award
Closing an Award

17. For more information visit: http://www.unl.edu/research/sp/sp.shtml
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Wrap up
Questions or comments?
For more information visit:
2/19/2019
Closing an Award
Closing an Award