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["DEPARTMENT CLOSEOUT CHECKLIST for Sponsored Projects, Version 3.9"]
[]
[null,"Contract #:",null,null,"Award ID:"]
[null,"Chartstring(s):",null,null,"PI:"]
[]
["#","Who","Task","Completed or NA","Specific Actions","Notes"," "]
[null,null,"90 DAYS PRIOR TO AWARD END DATE"]
[1,null,"Notify Subcontracts that PRIME award will be closing and ask for a final projection for remaining invoices",null,null,"Cognos GM092 Subrecipient Monitoring Report  can be used to review current  funds disbursed on subcontracts."]
[2,null,"Work with PI to create a Final Spending Plan or projections for all chartstrings associated with the award",null,null,"Review every project opened up under the award."]
[3,null,"Review award Terms and Conditions for any unusual deliverables or reporting requirements"]
[4,null,"Review Payroll and tuition charges currently on grant and determine future funding sources",null,null,"Tuition changes need to be made in SES"]
[5,null,"If any program income exists, inform GCFA.",null,null,"Example: income from fees for services performed, charges for the use or rental of equipment or supplies acquired under the grant, the sale of commodities or items fabricated under an award, charges for research resources, or registration fees for grant-supported conferences"]
[6,null,"If there is cost sharing, ensure that commitments have been met and funded.  Ensure all expenses are allowable.",null,null,"All cost shared effort must be certified in the Effort Reporting System.  Fund 191 is Mandatory Cost Share and 193 is Voluntary Committed Cost Share."]
[7,null,"Work with IACUC and IRB to transfer protocols, if appropriate."]
[8,null,"For NSF, review Participant Support Cost budget and expenditures.  Rebudgeting of unspent Participant Support budget is not allowed without prior approval."]
[9,null,"Review other line-item caps or rebudgeting requirements as noted in PAS, award notification, or sponsor guidelines. "]
[10,null,"Verify that all expenses are allowable, especially those posted within the last three months of the award.  Items such as capital equipment purchases, service contracts, and large supply purchases are generally not allowable during the last three months of an award."]
[11,null,"Review research subject payments and ensure expenses have been posted to the grant."]
[null,null,"30 DAYS PRIOR TO AWARD END DATE"]
[12,null,"Notify research staff and students that award is ending so they stop using the chartstring at the appropriate time."]
[13,null,"Notify University Services, internal stores, CCM and recharge centers to stop using the chartstring after the current month's charges are submitted in order to avoid post-award correction journals.",null,null,"Common recurring expenses are lab gasses and tank rentals.  Administrators in NUCORE can suspend the chartstring."]
[14,null,"Review final spending plan and identify pending expenses that will need to post before end of award (e.g., tuition, travel, payroll journals)"]
[15,null,"If fabricated equipment on 77535 exists, notify Accounting Services Property Accountant.   CC GCFA "]
[16,null,"Begin to close out all Blanket Orders.  Final expenses should be made on Purchase Orders and must be received before the award end date."]
[17,null,"Review open encumbrances and expenses that are not posted (purchase orders, online vouchers, travel expense reports).   Delete any invalid or obsolete encumbrances in NUFinancials.",null,null,"Review SC016 and SC026.  "]
[18,null,"Resolve effort-related issues sent by Effort Coordinator (if any)."]
[null,null,"AFTER PROJECT END DATE- Steps should ideally be completed in order listed.   "]
[19,null,"Respond and resolve highlighted expense review items from GCFAs as needed."]
[20,null,"Verify that all encumbrances have cleared. "]
[21,null,"Confirm all expenses have posted. "]
[22,null,"Ask GCFA to inactivate all expense account codes for which no additional expenses are expected (e.g. payroll, recurring expenses, supplies, travel, etc.), to prevent unwanted expenses being charged.  Once all trailing expenses have been posted, send another email to the GCFA to inactivate all expense codes on the project.  "]
[23,null,"If any tuition or salary has not posted, notify GCFA to extend project end date in NU Financials."]
[24,null,"If there are subcontracts, confirm in NUFinancials or with ASRSP that Final invoice has been received and paid. Also verify that the final report has been submitted to the PI.",null,null,"Due by ~ 45 days after award ends."]
[25,null,"Verify that PI has submitted final technical report to sponsor.  Federal award technical reports must be submitted within 90 days of end date.",null,null,"Questions regarding these reports should be directed to the SR GCO.  Ask PI for a copy of the technical report."]
[26,null,"Verify that PI has submitted other required reports  (Invention report, etc.)"]
[27,null,"If there is an overdraft after all valid transactions have posted, there are three options: 1) Issue correction journals to move specific expenses to a non-sponsored chartstring. 2) Inform ASRSP the deficit will be covered by a  non-sponsored chartstring and provide chartstring to GCFA. 3) If the  cost share requirement has not been met, issue correction journals to move expenses between funds within the project (example, 610 to 191).",null,null,"Note that payroll charges must be moved to non-sponsored chartstring via a Payroll correction journal.  Due to roles and responsibilities, ASRSP GCFAs cannot move payroll charges."]
[28,null,"For Fund 192 cost sharing, process revenue transfer journal in the amount of final expenses and notify GCFA."]
[29,null,"After the Department has completed all its tasks, send an email to the GCFA requesting to initiate the closeout process.    "]
[30,null,"Send back certified GM045 and Program Income Statement to GCFA via email."]
[]
["* Please see the tab, GLOSSARY, for definitions of the referenced acronyms."]

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["SR CLOSEOUT CHECKLIST for Sponsored Projects, Version 3.9"]
["This checklist is for all 5 types of NUFin contract types:  LOC, SCH, INV, FP, and FIXED_DEF. "]
[null,null,"Contract #:",null,null,"Award ID:"]
[null,null,"Project(s) #:",null,null,"PI:"]
[]
["Task #","Who","Starting from end date","Task","Completed or NA","Specific Actions","Notes",null,null,null," "]
[null,"90 DAYS PRIOR TO AWARD END DATE"]
[1,"SR","End date + 90 days","File Invention / Patent Report as required by sponsor."]

{"sheet":"Cost Studies","index":2,"n_rows":11,"n_cols":11,"rows_kept":11,"cut":false,"hidden":false,"merged":[[9,1,9,6]],"flags":["formulas_cached_only"]}
["Cost Studies CLOSEOUT CHECKLIST for Sponsored Projects, Version 3.9"]
["This checklist is for all 5 types of NUFin contract types:  LOC, SCH, INV, FP, and FIXED_DEF. "]
[null,null,"Contract #:",null,null,"Award ID:"]
[null,null,"Project(s) #:",null,null,"PI:"]
[]
["Task #","Who","Starting from end date","Task","Completed or NA","Specific Actions","Notes",null,null,null," "]
[null,"90 DAYS PRIOR TO AWARD END DATE"]
[1,"COST STUDIES",-90,"Effort Coordinator requests award closeout chartstrings from GCFA and performs effort check accordingly.  Results sent to GCFA.  Effort coordinators notify PI/DEPT of any missing effort and followup to assure issues resolved.",null,null,"The Effort Coordinator may request the GCFA list 90 to 60 days prior depending on the volume of the closeouts for that month.  If necessary, Effort Coordinator sends email to PI/DEPT 60 to 30 days prior to award end date."]
[]
[null,"STARTING 30 DAYS PRIOR TO CLOSE- Financial closeout and transaction review"]
[2,"COST STUDIES",-30,"Notify PI/DEPT of any missing effort and followup to assure issues resolved.",null,null,"Effort coordinator sends email to PI/Dept 30 - 60 days prior to award end date."]

{"sheet":"ASRSP","index":3,"n_rows":51,"n_cols":11,"rows_kept":51,"cut":false,"hidden":false,"merged":[[13,1,13,6]],"flags":["formulas_cached_only"]}
["ASRSP CLOSEOUT CHECKLIST for Sponsored Projects, Version 3.9"]
["This checklist is for all 5 types of NUFin contract types:  LOC, SCH, INV, FP, and FIXED_DEF. "]
["Steps unique to only 1, 2 or 3 contract types are highlighted in RED."]
[null,null,"Contract #:",null,null,"Award ID:"]
[null,null,"Project(s) #:",null,null,"PI:"]
[]
["Task #","Who","Starting from end date","Task","Completed or NA","Specific Actions","Notes",null,null,null," "]
[null,"90 DAYS PRIOR TO AWARD END DATE"]
[1,"ASRSP",-90,"Info Team runs GM028 to verify RADMs are up-to-date.  ",null,null,"Update RADMs in NUFin as necessary, prior to batch send."]
[2,"ASRSP","-90","Info Team sends closeout email to PI, project RADM from NU Financials, GCFA and GO.  "]
[3,"ASRSP","-90","Review interest payments and apply any past due amounts."]
[]
[null,"Who","Starting from end date","Task","Completed or NA","Specific Actions","Notes"]
[null,"STARTING 30 DAYS PRIOR TO CLOSE- Financial closeout and transaction review"]
[4,"ASRSP","-30","For Fund 191 and Fund 193 cost sharing, assure that all items are allowable, and assist department with the preparation of the cost sharing report if required."]
[5,"ASRSP","-30","If required, Submit Equipment/Property  report.   In NUFin, complete PROPT (Property Equipment Report) Milestone Status \"COM\" (Completed) and enter date in Comments.",null,null,"NUFIN path:  Grants > Awards > Award Profile > Milestones.  Some sponsors allow this to be submitted after the award ends.  "]
[6,"ASRSP","-30","For INV awards which are on monthy or quarterly batch (INB), consider placing billing plan on hold so the final is not auto generated. ",null,null,"Identify these awards with the monthly GM002 and GM006 pre-batch reports. "]
[7,"ASRSP","-30","Run  NUFin query NU_ASRSP_REVIEW_EXP and resolve any issues.",null,null,"Review for allowability, example Restricted Salaries.   IF charges exist on 77535, request prior approval from Accounting Services Property Accountant  to  move charges from \"Fabricated Equip - In Progress\" 77535  to \"Capital Equipment\" 77560.  Move any disallowed charges to non-capital equipment. "]
[]
[null,"Who","Date Range","Task","Completed or NA","Specific Actions","Notes"]
[null,"AFTER PROJECT END DATE- Steps should ideally be completed in order listed.   "]
[8,"ASRSP","End date + 90 days","Review interest payments and apply final amount due."]
[9,"ASRSP","End date + 90 days","ASRSP Subk Specialists review active subks on award.  Request FINAL invoice directly from subrecipient  if not yet received.  Cc dept & GCFA",null,null,"ASRSP Subk Specialists review ASRSP111 report on monthly basis."]
[10,"ASRSP ","End date + 90 days","If award has Bill Plan on hold for FCOI, notify NUCOI to resolve.   ** Federal LOC awards must be fully drawn within 120 days of the end date. **",null,null,"ASRSP *cannot* draw LOC funds or invoice INV or FP awards if the project is on hold with NUCOI."]
[11,"ASRSP","End date + 90 days","To prevent unwanted transactions, update budget status to \"Closed\" for any lines where there are no further anticipated acitvities.",null,null,"A closed status will stop any transaction from posting to any expenses that rollup under this budget line, including uploaded spreadsheet journals"]
[12,"ASRSP","End date + 90 days","For contracts, file any required post-award legal forms such as the Contractor's Release with the sponsor."]
[13,"ASRSP","End date + 90 days","For Fund 192 cost sharing, add budget line funding in amount of final expenses."]
[14,"ASRSP","End date + 90 days","Prepare final financial reports and/or final invoices and submit to department for review.  ** The majority of Federal award  Final FFRs must be submitted within 120 days of the end date. **",null,null,"In addition, request dept to print current GM045 for PI to certify and Program Income Statement to complete.    DOEnergy and several other agencies require submission within 90 days of the enddate."]
[15,"ASRSP","End date + 90 days","Send current GM045 and Program Income Statement to Dept Admin to have PI certify final expenses.  ",null,null,"Program Income Statement template located at http://www.northwestern.edu/asrsp/docs/Program_Income_Template.doc"]
[16,"ASRSP","End date + 90 days","If final GM045 is signed by PI, AND no effort issues, obtain ASRSP certification and submit final reports to sponsor.   ",null,null,"For HHS FFR, note that the FFR expenses must match Final quarterly FCTR expenses reported.  "]
[17,"ASRSP","End date + 90 days","Upload FFR and/or final invoice plus supporting docs to OnBase.",null,null,"Supporting docs are defined as at minimum GM045 budget statement signed by PI and \"audit all\" query."]
[18,"ASRSP","End date + 90 days","Check NUFin FSRFI milestone \"Completed\" box.   Update milestone comments  with code/comments if necessary.  See ASRSP105 Appendix worksheet for more detail.",null,null,"This applies to all 4 contract types:  LOC, INV, SCH and FP, regardless if \"true\" Final Financial Report (FSRFI) is required.  If final payment has not been received, be sure to code \"WFP\", Waiting for Payment."]
[19,"ASRSP","End date + 90 days","If necessary,  move Restricted or Carryover budget to new award per award term and conditions. "]
[20,"ASRSP","End date + 90 days","Confirm budget matches FFR or final invoice. If neither is required, confirm budget matches final cash received or final expenses, whichever is less."]
[21,"ASRSP","End date + 90 days","Set all Budget Line Statuses to \"Closed\".",null,null,"Commitment Control > Define Control Budget > Budget Attributes"]
[22,"ASRSP","End date + 90 days","If LOC, INV, or SCH, run NUFin query NU_ASRSP_PR_BIL_BLD_DEF_OLT and confirm all rows are BLD for LOC and INV.  SCH rows should be utilized.",null,null,"If LOC BILs exist, consult with person responsible for NUFin LOCID draw.  IF INV BILs exist after Final Invoice has been sent, determine why.  Late OLTs?"]
[23,"ASRSP","End date + 90 days","Run \"closeout query\" NU_ASRSP_CLOSEOUT_GL_CONTRACT and resolve any issues. ",null,null,"S:\\ASRSP\\NUFinancials_PRODUCTION\\Training Guides\\Closeout Query Guide"]
[24,"ASRSP","End date + 90 days","If necessary, process cash journal to balance general ledger.  Re-run the closeout query after the journal is posted. ",null,null,"S:\\ASRSP\\NUFinancials_PRODUCTION\\Training Guides\\Closeout Query Guide"]
[25,"ASRSP","End date + 90 days","If SCH, FP or FIXED_DEF, verify that all necessary billing events have completed.",null,null,"PENDING $0 events  do *not* need to be completed.  After confirming that total Completed Billing Events are equal to total Completed Revenue Events, all other Billing Events should be set to Pending."]
[26,"ASRSP","End date + 90 days","If FIXED_DEF, verify that final Billing and Revenue Amounts are equal and that all necessary revenue events have completed.\n\nSee job to the right for a more detailed guide.",null,null,"PENDING $0 events  do *not* need to be completed. After confirming that total Completed Billing Events are equal to total Completed Revenue Events, all other Revenue Events should be set to Pending.\n\nS:\\ASRSP\\NUFinancials_PRODUCTION\\Training Guides\\FP DefRev Guides\\Fixed Price Deferred Revenue GCFA Closeout Guide.doc"]
[27,"ASRSP","End date + 90 days","If SCH, return any unspent funds to sponsor and then reduce budget down to the amount expended/reported.",null,null,"Reference  S:\\ASRSP\\NUFinancials_PRODUCTION\\Training Guides\\Schedule Awards Manual\\SCH and PPD Awards Manual, page 81."]
[28,"ASRSP","End date + 90 days","If FP, confirm all payments have been received from sponsor and then distribute any residual balance to dept/school/central as required. ",null,null," Reference job aid,  ASRSP > NUFinancials_PRODUCTION > Training Guides > Job Aids >  12_How to Transfer Residual Bal for FP v2.doc .   Retrieve Dept ID from within NUFin ...  Main > Set Up Financials/Supply Chain > Business Related Unit > Grants > Facilities Admin Options."]
[29,"ASRSP","End date + 90 days","If LOC, INV or SCH,  confirm Project budget(s), Contract Billing Limit, Cumulative Expense, and Amount Received are all equal.  Run GM091, Sponsored Payments Received Report.  ** Federal awards must be fully drawn within 120 days of the end date. **     (NASA is an exception and must be drawn within 90 days.)",null,null,"If INV or SCH and  Amt Received is short, code FSRFI milestone with \"WFP\" if award is Waiting for Payment. IF LOC and Amt Received is short, contact ASRSP staffer responsible for the LOC draw.  If Amt Received is greater than Cumulative Expenses, process credits as appropriate. "]
[30,"ASRSP","End date + 90 days","If GRANTS_CAPITATION, confirm all payments have been received from sponsor and, if they exceed expenses, notify the department and process a refund using a negative Billing Event."]
[31,"ASRSP","End date + 90 days","If FP or GRANTS_CAPITATION, confirm Project budget(s) and Amount Received are equal.   FP Negotiated Amount is *not* updated to Amount Received.  (Unlike LOC, INV and SCH's Billing Limit which are updated to Amount Received.)  Run GM091, Sponsored Payments Received Report. ",null,null,"If Amount Received is short, code FSRFI milestone with \"WFP\" if award is Waiting for Payment.   "]
[32,"ASRSP","End date + 90 days","Return any project activity end dates back to the original date if they were extended and update status to \"Inactive\".",null,null,"Do *not* update project activity status to \"Inactive\" until all payments have been received and cash applied. "]
[33,"ASRSP","End date + 90 days","Return any project end dates back to the original date if they were extended and update status to \"Closed\".",null,null,"Do *not* update project  status to \"Inactive\" until all payments have been received and cash applied."]
[34,"ASRSP","End date + 90 days","Enter any closing notes in FSRFI milestone comments.  If necessary, add additional notes to Awards Page \"Notepad\" tab. ",null,null,"Grants > Awards > Award Profile (Notepad link at bottom)."]
[35,"ASRSP","End date + 90 days","Update Contract Status to \"Closed\" only *AFTER* all cash has been received and applied and PI has provided GM045 certification. ",null,null,"Never close billing plan or revenue plan.  If necessary,  remove \"WFP\" from FSRFI milestone notes. "]
[36,"ASRSP","End date + 90 days","Update Award status to \"Closed\""]
[37,"ASRSP","End date + 90 days","Upload completed closeout worksheet V3.#  to OnBase folder.",null,null,"Verify all interim invoices have been uploaded."]

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["Common Acronyms"]
[]
["Acronym","Stands For","Notes"]
["ACUC","Animal Care and Use Committee","Responsible for reviewing and issuing vertebrate animal protocols"]
["ASRSP","Accounting Services for Research and Sponsored Programs"]
["CCM","Center for Comparative Medicine","Centralized administrative area that oversees animal work, including billing"]
["CT","Cost Transfer"]
["ERS","Effort Reporting System"]
["FFR","Final Financial Reports"]
["FP","Fixed Price","NUFin Fixed Price Contract type for which compensation is by pre-determined milestones, not actual expenses posted in NUFin.\nBefore 9/1/18, the only non-Grants Reimbursable Contract type in NUFinancials. After 9/1/18 to be used only for capitation-like milestones (ie - clinical trials)."]
["FIXED_DEF","Fixed Price Deferred Revenue","New Contract type starting 9/1/18 intended to capture deferred revenue amount from contract activation, and then to recognize the revenue as milestones are completed."]
["FSP","Final Spending Plan"]
["GCFA","Grant & Contract Financial Officer","ASRSP employee"]
["GCO","Grant & Contract Officer","SR employee"]
["INV","Invoice","NUFin Grants Reimbursable Contract type.  GCFA bills sponsor per expenses in NUFin."]
["IRB","Institutional Review Board","Responsible for reviewing and issuing human subjects protocols"]
["LOC","Letter of Credit","NUFin Grants Reimbursable Contract type.  ASRSP bills federal sponsor per expenses in NUFin."]
["NCE","No Cost Extension "]
["NUFS","Northwestern University Financial System"]
["SR","Sponsored Research"]
["PAS","Project Account Summary","Cognos GM033, included with SR award mailing"]
["PI","Principal Investigator","Faculty member responsible for project"]
["PSC","Participant Support Costs","NSF-specific funding with specific spending, rebudgeting and F&A rules"]
["RADM","Research ADMinistrator","NUFS designation, manually assigned to each chart string by SR"]
["SCH","Scheduled","NUFin Grants Reimbursable Contract type.  Payments are sent to NU on a pre-determined schedule. Unused funds are returned to sponsor at end of the award. "]
["SDA","Salary Distribution Adjustment","Used mainly on the Evanston campus to reimburse grants for faculty salary charges"]
["Subk","Subcontract or Subrecipient"]

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["ASRSP105 FSRFI milestone comment codes"]
["#","CODE","DEFINITION","EXAMPLES","NOTES"]
[1,"ASR","ASRSP","GCFA needs to process a refund to sponsor"]
[2,"COM","Comment ","Miscellaneous information that does not fall into other categories"]
[3,"DEP","Department/PI   ","Department needs to provide discretionary account to transfer overdraft off of sponsored chart string; PI needs to complete and submit progress report to sponsor; waiting for PI certification; department needs to process cost transfers;"]
[4,"IFT","InfoTeam","Waiting on INFOTeam to solve NUFin tech issue,  most likely with FFRA assistance;  NUFin Product Type needs to be corrected","Recommend GCFA send email to InfoTeam when using this code "]
[5,"SR","Sponsored Research","No cost extension in progress; amendments pending; relinquishment in progress; waiting on Project Account Summary and/or  Q&A; change of PI in progress"]
[6,"PAY","Payroll","Waiting on Payroll correction journals"]
[7,"SPN","Sponsor","Waiting on closing legal documents approval; approval of contested charges; waiting on approval to keep unspent balance; any question to sponsor"]
[8,"SUB","Outgoing Subcontract","Waiting on Subcontract Final Invoice(s) receipt,  PI certification and/or payment."]
[9,"TFR","Transfer","Transferred or retroactive award.","Award arrives after a report is due and/or report is submitted by supervisor."]
[10,"WFP","Waiting for Payment","Complete payment has not been received and most likely requires Cash Manager follow-up with sponsor.  Payment may involve Court of Claims.","GCFA should confirm any SCHeduled or FP Events are set to ready, otherwise award is not returned on Cash Management AR aging report."]
[11,"DRW","Draw","Final LOC draw process to be completed."]
[12,"CLS","Closed","Final comment indicating the date of closeout in NUFin."]

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["Version ","Date","Details of Updates"]
[3.4,"2017-01-04","added \"SUB\" code to ASRSP105 worksheeet"]
[null,null,"updated #7 ASRSP worksheet "]
[null,null,"updated all worksheets,   3.3 version to 3.4 and date"]
[3.5,"2017-07-31","Major update on department checklist based on feedback from the departments"]
[3.6,"2017-11-01","Updated DEPT notes related to Cognos GM092 report, added TFR code to ASRSP105 codes"]
[3.7,"2018-09-01","Updated ASRSP and GLOSSARY to included FIXED_DEF Contract type. New DRW & CLS escalation codes added."]
[3.7,"2018-12-20","Updated ASRSP GLOSSARY to remove ESPR"]
[3.8,"2020-04-24","added references to FP Deferred Revenue interim and closeout guides "]
[3.9,"2021-02-25","Office for Sponsored Research rebranded to Sponored Research (SR), and GRANTS_CAPITATION references added to  ASRSP tab."]