GRANTS PROJECT CLOSEOUT REPORT (ACR) APRIL 9, 2014 04/09/2014 - - PowerPoint PPT Presentation

GRANTS PROJECT CLOSEOUT REPORT (ACR)

APRIL 9, 2014

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Presentation Team

• Susan Bledsoe, Sponsored Research Accountant
• Susan Tkachick, Sponsored Research Accountant

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Agenda

• What is the Grants Project Closeout Report

(ACR) & Why it is important

• How to navigate thru the report
• Tips and Tricks for a successful closeout

submission

• Archives

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What is the ACR?

• Created to assist the Departments close out their

Grants.

• Runs multiple queries.
• Required to close out each grant project.
• Auditable document by both internal and external

auditors.

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When is it Created?

• Generated on the 1st of each month.
• Reports are created based on the Award end date and are

scheduled to close in approximately 90 days.

• Department Administrator listed as the main contact for the

Department will receive the following email within that 90 days.

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Closeout Report Email

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No Cost Extensions (NCE)

• Discuss the possibility of a NCE with PI.
• Be aware of what the Award document has to say about NCE

and when NCE needs to be submitted by.

• If no NCE, please ensure that all transactions are posted in a

timely fashion so the Research Office can bill the sponsor and receive full payment.

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Is there a NCE? YES or NO Must be answered to proceed

CANG43212311000 123123123 University Research Bear, Black Bear, Black

Department Admin

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Is there a NCE? YES Please answer with one

• r more of the

following three choices Click Submit form after answer is selected

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NCE? YES

• Involve Contract & Grant Specialist in NCE process.
• Please return the ACR indicating ‘Yes’ if you are requesting a

NCE or new increment of funding.

• If NCE is not approved, ACR will be returned to begin the

closeout.

• If NCE has been approved, you will receive the following

email.

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Complete/Extended Email

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Links

• Closeout Report

– http://www.udel.edu/re search/preparing/grants manual.html – http://www.udel.edu/pr

• jectcloseout

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Closeout Report Main Menu Users should click either menu item to expand sub-menu selections

At least one search criteria must be entered to activate non- interactive interim report

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Each search criteria has a lookup feature. Type in the known characters, then click “next step” to reveal list of possible selections. Define your search criteria by identifying 1 or a combination of up to 8 categories.

Dropdown box to search on report status: New In-progress Extension Complete

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Research Office 123123123 CANG43212311000 Bear 09/30/12 Bledsoe 09/30/12

A summarized listing of search results is revealed after clicking the “submit” button from the previous menu. Users should click on the Project ID to access the interactive Closeout Report. New In-Progress Extended Complete

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Is there a NCE? NO The rest of the Closeout Report will appear for completion

CANG43212311000 123123123 University Research Bear, Black Bear, Black

Department Admin

NCE? NO

• Report data will only appear if you answer NO to the first

question.

• If NCE has not been requested, you can proceed with

completing the ACR.

• Normal closeout window is 90 days.

– 45 days for the department to complete the ACR and 45 days for the Research Office to complete the Final closeout requirements. – Review your Award terms and conditions to verify closeout window.

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Use Save Button to lower risk of losing data.

Must Select Yes or No

Final Technical Report

• Attach proof of submission to sponsor (email, letter, or online submission),

not actual report. It should include the submission date.

• Ensure that the email address clearly identifies the recipient. An email

from the PI to UD staff stating that the report has been submitted is not sufficient!

• If no report is required as per the agreement, note that in comment

section on ACR.

• If all is complete on ACR except for the technical report, send ACR to RO,

we will return it—do not hold up ACR waiting for the report.

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Must Select Yes or No

Cost Share/ Match

• Review Award terms and conditions to determine cost share requirement.
• Expended Amount should be equal to or greater than committed amount.
• The Expended Amount shows only transactions that have been tagged

with the project id.

• Attach spreadsheet(s) for any other required match that can not be tagged

with project id, such as another grant and third party.

• Indicate in the comments any waived F&A being used, and the grand total

required and met.

• If you answer “yes” for other cost share, be sure to enter comments and

attach backup as necessary.

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CANG432123 CANG432123 CANG432123 CANG432123 CANG432123 CANG432123

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Must Select an answer from drop down menu

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After End Date View Detail

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April 2014 RO Conference Project CANG43212311000 after end-date charges with account 153300 (Details for Line #10) Purpose Year Period Accounting Transaction Account Description Vendor # Voucher Journal ID Amount date date CANG432123 2014 5 11/26/2013 10/14/2013 153300 Food Bank FOOD BANK OF DELAWARE INC 12345 AP0044002 5 $25,844.50 CANG432123 2014 6 12/5/2013 11/13/2013 153300 Nemours E I DUPONT DE NEMOURS AND CO 12346 AP0044118 6 $34,170.60 CANG432123 2014 6 12/6/2013 9/30/2013 153300 Del State University DELAWARE STATE UNIVERSITY 12347 AP0044136 2 $55,910.40 CANG432123 2014 8 2/19/2014 2/12/2014 153300 Del State University DELAWARE STATE UNIVERSITY 12348 AP0045114 1 $93,737.94

After End Date Charges

• After end date charges are transactions that have hit the grant system

after the Project End date, noted at the top of the ACR.

• If there are ANY transactions listed here, the ACR thinks there are after

end date transactions! The drop box text must match!

• Enter comments and attach backup for all transactions that occurred after

award end-date. The ONLY exception is when the Transaction Date is prior to the end date

• It is not necessary to attach JV’s, just reference JV req id in comments.

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After End Date Charges

• Backup should show original order date, it is helpful if the date and dollar

amount are circled or marked for easy identification.

• If account code listed has a zero balance, it does not mean that all items

have been removed from list. Please verify.

• Organizing the backup – it’s helpful to scan, attach and name by account
• r type of expense (travel, S&E, phone, etc). Also helpful to scan in date
• rder so that the backup is in approximate order of actual expenses.
• Match after end date:

– Transaction being used as cost share on project must follow same guidelines as sponsor charges. – Transaction being used as cost share on another project must be removed. – Sometimes additional salary match hits before the LAM gets revised

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CANG43212311000 University CANG432123 University Bear, 10/01/11 09/30/12 15.0% $1,200,000 $810,000 $265,680 $124,320

Research Research Black

Must Select an answer from drop down menu

Over Expenditures

• Use the dropdown box to give expenditure status of award.
• Add comments, such as a pending JV that has been recently submitted to

clear overexpenditures. Note pending JV req ids

• If the Sponsor Budget is incorrect, please contact the Research Office so

the data can be corrected.

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CANG432123 CANG432123 CANG432123 CANG432123 CANG432123

CANG432123 CANG432123 CANG432123 CANG432123 CANG432123 CANG432123 CANG432123

Potential Unallowable View Detail

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April 2014 RO Conference Unallowable Charges for Project: CANG43212311000 (Details for Line #5) Purpose Year Period Accounting Transaction Account Description Journal ID PCard last 6 Amount date date CANG432123 2014 3 9/12/2013 9/12/2013 145610 TAVERNA GPC0428060 8672 40997 $ 243.90 CANG432123 2010 6 12/10/2009 12/10/2009 130500 USAIRWAYS GPC0236751 2292 59873 $ 703.24 CANG432123 2011 6 12/10/2010 12/10/2010 145600 CAFFE GELATO GPC0283696 8316 700964520 $ 168.00 CANG432123 2013 9 3/20/2013 3/20/2013 130100 UNO'S DOVER GPC0402454 3924 41711 $ 32.56 CANG432123 2010 2 8/10/2009 8/10/2009 130100 BACK BURNER GPC0224928 0042 40997 $ 36.00 CANG432123 2010 12 6/28/2010 6/28/2010 130100 STONE BALLOON WINEHOUS GPC0259500 5545 27792 $ 98.90 CANG432123 2010 6 12/10/2009 12/10/2009 130500 AIR CHINA GPC0236756 2292 59873 $ 1,205.00 CANG432123 2013 9 3/20/2013 3/20/2013 130100 LUFTHANSA GPC0402455 3924 41711 $ 2,010.00

Potential Unallowable

• This is not a complete list of all possible unallowable charges, merely a

guideline to follow for some of the most typical types of transactions on federal funding.

• Some of the listed accounts may be allowable on your particular award.
• Some un-listed accounts may be unallowable on your particular award.
• Please provide written justification for charges listed in this section.
• Backup is required for Foreign Travel flights and local meals.
• Review all charges posted to award to ensure that the proper account was

used.

• Review budget vs expenditures.

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Outstanding Transactions

• This is a good area for you to keep notes to yourself about the information and

transactions that are still pending.

• If everything else on the ACR is completed, you may submit the ACR with notes

about the still pending item(s), but keep in mind that the closeout can’t be completed until all transactions have hit the purpose.

• If you have submitted requisitions to procurement for payment, please attach

them as well as any backup that my be needed for the after end date charges.

• The Department Administrators are responsible for following up to ensure that all

transactions have been posted to the award.

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Equipment Inventory

• Verify that all 153100 transactions have been capitalized or moved to S&E.
• There are very few exceptions where 153100 can remain on a purpose.
• Check sponsor’s terms and conditions – if a property inventory is required,

please attach it here.

• If the section states “No transactions have been found,” no comment

needs to be added.

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Must Select an answer from drop down menu

Subcontracts

• A final invoice and all applicable closeout reports are required for every

subcontract.

• Monitor the subcontractor for invoices, and make sure the final invoice is

requested well before the end date, if it hasn’t already been submitted.

• Coordinate with the Research Office to obtain any missing documentation.
• Correcting JV’s will not be part of the PO and will only be reflected on the

ACR as a JV number.

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CANG432123 CANG432123 CANG432123

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CANG43212311000 CANG43212311000 CANG43212311000 CANG43212311000

Must Select Yes or No

Purchase Orders

• This section lists all open purchase orders.

– Approved(A), Dispatched(D), or Open(O) status

• Review the POs to determine if all obligations have been paid.
• Contact procurement if the PO can be closed. Even if the PO

has been paid in full, procurement will not take any action until notified by the department.

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Salary JVs for Effort

• Verify that all proposed effort, including cost share

has been met with completed Effort Certifications.

• Ensure that there is no negative effort on project.
• Submit JVs if effort cost share requirement has not

been met.

• Review agreement for any requirements regarding

salary caps to ensure compliance.

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Salary JVs for Effort

• The ACR indicates Effort Administrator involvement; you may

want to forward the ACR to appropriate person in your department for assistance in completing this section (but you are not required to do so if you are comfortable with making the applicable assessments).

• Contact Dawn Yasik, Effort Manager if you have any questions
• r need any Effort Certifications pushed to you for

corrections.

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Must Select Yes or No

F & A Analysis

• If the required question is answered “no”, add Comments to indicate

what action is needed

• Some items to keep in mind that may cause your analysis to be off:

– PS accounts that do not generate F&A

see: http://www.udel.edu/research/preparing/proposalguide.html

– Verify that COA updates reflect correct rate – Transactions missing project id will cause F&A to be off – Contact RO if adjustment is needed

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Must Select Yes or No

Inventions

• Checking for patents/IP issues is required for federal and federal pass-thru

awards, and any agreement with IP/Invention reporting terms.

• Department administrators need to coordinate with their faculty members

to identify if they have filed any patents/IP issues with the Office of Economic Innovation and Partnership (OEIP) either directly or by using a patent database.

• The email correspondence with the PI may be attached here.

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Purpose/Project Conflict

• This section will display a total for all mismatched transactions only if there is a

problem between the balance of the purpose vs. the balance of the project.

• Verify that all transactions have hit both the correct purpose and project. The total

expenditures for each should be the same.

• Some reasons why there may be a purpose/project conflict:
• there are transactions prior to 7/1/02
• there are recent transactions where F&A has not yet hit (usually self-corrects in 24hrs)
• there are match transactions that may appear to be mis-matched
• If there is a discrepancy between the purpose/project, it needs to be determined

where the charge belongs. Once identified, the Research Office may need to process a JV making the correction(s) or Procurement may need to correct. Please coordinate with the Research Office.

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Purpose/Project Conflict

• Some addition resources to view:

– GMQ_CLOSE_OUT_REPORT (Identifies items that have hit the Grant system - Project) – GMQ_CLS_TRANSACTIONS (Identifies items that have hit the General Ledger - Purpose) – GMQ_LEDGER_BAL (Identifies difference between ledger total and project total)

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Bear 70123123 Fred 70234234 CANG432123 CANG432123 UNIVERSITY RESEARCH CANG432123 CANG110000 Research Office Match

CANG43212311000

Labor Allocation Module (LAM)

• Remove all personnel from the LAM distribution tagged with

this project.

• Remember to check that any salary tagged as Cost Share has

also been removed from the LAM distribution.

• If personnel are no longer at UD and the LAM can’t or won’t

be updated, indicate that status in the comments box

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University CANG432123 University Bear, 10/01/11 09/30/12 32.8% $1,075,680.00 Research Research Black

CANG43212311000

Confirm Final Expenditure Total

• Confirm that the final expenditure being reported under this section as

Actual Expenditures is accurate.

• Type the final total expenditures for this project, including all pending

transactions.

• The amount you type should be for this project only.
• The amount cannot be higher than the award amount, except for one

special circumstance

• Identify any outstanding transactions in comments.

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Department Admin

Must Select Action: Forward to Research Office Or Forward Click Submit Form after Action is selected

Routing and Authorization

• Save and Exit can be used to save changes and return to

the form at a later date

• The submit form button will complete the action that you

have selected from the drop box.

• If Forward is selected from the action, you will need to

enter the email address of the individual you want to forward it to.

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Research Office Role

• The Sponsored Research Accountant assigned to your Project

closeout will begin to review your ACR once it has been submitted.

• If anything is missing or needs additional information, you will

be contacted.

• If the Technical report has not been completed, once the

Financial Analysis is complete, the ACR will be returned to update the final technical report submission.

• Once the ACR is complete, you will receive the following

email:

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Complete/Extended Email

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Questions

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Archives

• Once all the cash is received and the Cash-

Expenditures equal zero the file is prepped for archives.

• The SRA determines the proper retention period and

gives the file to Leslie Hague to log and send to archives.

• The departments should not destroy any grant

documents until they received the approval from the RO.

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For additional information:

• Susan Bledsoe, x0446, sbledsoe@udel.edu
• Susan Tkachick, x8578, tkachick@udel.edu

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Grants Administration and University Records Management

University Archives and Records Management Ian Janssen Director, UARM ijanssen@udel.edu

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Archives Program

“To document the history of the University of Delaware and its predecessor institutions.” Archives Program activities include:

• Acquisition of historical records
• Processing of collections of

historical records for research use

• Preservation of historical

records

• Conducting historical research
• Providing access to collections
• f historical records for internal

and external researchers

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Records Management Program

“To guide and assist the university and its constituent units in the management of university administrative and business records through their lifecycle.” Records Management Program activities include:

• Development and maintenance of

records retention schedules for all university units

• Performance of annual audits to

measure compliance with the university’s records retention schedules

• Coordination of records destruction

activities

• Administration offsite records

management activities (storage, transportation, and destruction)

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Grant Administration and Records Management for Units

“To maintain and preserve original supporting records as required to document expenditures of funds within sponsored research programs” Key points:

• Original supporting records required

by the university to satisfy policy and audit requirements

• Paper versus electronic copies of

supporting records

• Incorporation into the records

retention schedule

• Minimum retention of three years

from closeout

• Onsite and offsite storage of records

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University Records Lifecycle (General)

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Sponsored Programs Records Lifecycle

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Questions?

University Archives and Records Management 002 Pearson Hall 302-831-2750 ud-archives@udel.edu Ian Janssen Barbara Cole ijanssen@udel.edu bcole@udel.edu

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