Award Pre-Closeout, Closeout,

Record Retention

Today’s Goals

1. Review the basics – KC 1012. Look at the procedural differences

between Pre-Closeout, Closeout and Record Retention in Account Explorer and in KC

3. Provide information on how to perform these tasks in KC

4. Give you the opportunity to execute them yourself in KC

KC 101-The Basics:Terminology, Common Features and Actions

Terminology Main menu

Tabs, channels, links Tabs:

• Researcher• Unit• Central Admin• Maintenance• System Admin

Terminology – Main MenuChannels contain groups of related links

Common Features

Asterisks Implicit saves Data Validation Medusa

Common Features, cont.

An Asterisk* indicates a required field that must be completed to advance the document or add a row of information

Implicit Save—When a user moves from one tab to another, KC saves the e-Doc automatically

Common Features, cont.

Data Validation —This panel appears in many modules of the KC application and is used to display: errors that prevent submission into routing warnings that serve as alerts to possible data

issues but will not prevent submission into routing and/or allow the document to be finalized

Common Features, cont.

Medusa—Tab found in multiple e-Docs. Functions as a relational cross reference for all e-Docs related to a project

Common IconsNew: Creates a new document.

Lookup: Provides a means to search values stored in a table within the application.

Direct Inquiry: Provides the user additional information about the value entered in the field.

Calendar: Provides the user with a means to select a date.

Error: Indicates that data are missing or invalid.

Expand Text Area: Displays a larger text entry box in a separate pop-up window.

Common Icons, cont.Route Log: Displays Route Log information. Help: Displays a context-specific help page.

Expand Text View: Enlarges a text view field so all the text can be seen at once.

Common Icons, cont.

Common Icons, cont.

Common Icons, cont.

Common Icons, cont.

Common Document ButtonsAdd: Adds data entered into a field to an e-Doc. The Add Person is a variation used in the Key Personnel tab.

Delete: Deletes a selected item from an e-Doc.

Hide/Show: Reveals or hides contents of individual panels.

Expand All, Collapse All: Expand all opens all the subpanels of all the panels on an e-Doc tab; collapse all does the opposite.

Fix: Takes the user to the place in the e-Doc where the error is located as pinpointed by KC’s Data Validation functionality.

Cancel: Ends the current software operation. Be aware that cancelling an e-Doc from the Actions tab will render it read-only.

Common Document Action Buttons

Clear: Erases unsaved information entered into e-Doc.

Close: Closes the e-Doc and returns the user to the main menu.

Submit: Submits the e-Doc for approval routing.

Reload: Refreshes the screen and displays the most recently saved information. Be aware that changes made but not saved prior to reload will be lost.

Reset: Returns the screen to the default preferences.

Save: Saves the data entered, selected, or updated in the e-Doc.

Common Workflow Action Buttons

Approve: Signifies you consent to the project as outlined in the e-Doc.

Reject: Returns the document to the document Initiator when the reviewer has identified changes that are required for approval.

Disapprove: Signifies that you do not consent to project continuing. Be aware that disapproving an e-Doc prevents any further action to the e-Doc.

FYI: Indicates review of an e-Doc that has been routed to you for informational purposes. Acknowledge: Signifies you have reviewed an e-Doc that has been routed to you as the result of a change in the data, attachments, or status of the e-Doc.

Pre-Closeout

Current State - Pre-Closeout1. 90 days prior to closeout CGA sends PI/Dept/College a pre-closeout notification.

2. PI/Dept assess project status to determine if a no cost extension request is needed.

4. CGA sends drafts of final reports to Dept/College.

3. Dept reviews account and provides CGA with encumbrance, subcontract & cost share information.

5. PI/Dept review final report drafts and works with CGA if changes are needed.

6. Dept/College prepares forms to move personnel off the project.

Pre-Closeout - KC

1. At 90 days prior to the project end date, CGA sends the PI/Department/College a notification that the account is going to end in 90 days.

3. Dept/College reviews the account and provides CGA with encumbrance, subcontract, and cost share information.

2. PI determines if there is a need to request a no cost extension.

4. CGA sends final report drafts to PI/Dept/College.

5. PI/Dept/College reviews final report drafts and works with CGA as changes are needed.

Pre-Closeout Steps in KCNote: Most of the steps for completing this task are the same, pre and post KC.1. 90 days prior to the project end date, from the Central

Admin tab, Award Report Tracking channel, CGA locates the Award to be closed and reviews for final reports due. (see Award Report Tracking Quick Help Guide)

2. CGA notifies the PI/Dept/College of the actions required for closeout and sends final report drafts via email.

3. PI determines whether a no cost extension is necessary and/or notifies CGA if additional funding is expected. In either case, CGA amends the Award. (see Award Modifications)

4. The Dept/College reviews the final report drafts and account and takes actions to ensure a timely closeout, including paperwork to remove people from the project account.

Pre-Closeout

Pre-Closeout

Pre-Closeout

Closeout

Current State - Closeout1. CGA determines closeout steps and reviews account expenditures.

2. CGA works with PI/Dept if any expenses are to be removed.

4. PI/Dept work with CGA to finalize reports.

3. CGA sends PI/Dept drafts of final financial reports for review and approval.

5. CGA sends final financial reports to the funding agency and closes the KFS and Account Explorer accounts.

Closeout - Kuali Coeus1. CGA reviews KC closeout panel for system generated final reports and makes changes as needed.

2. CGA drafts final required financial reports and final closeout memo and sends to PI/Dept/College for review and approval.

4. Unexpended balances are de-obligated and all cash balances are resolved.

3. When all closeout requirements are complete, CGA sends final financial reports to the sponsor after approval is received from the PI/department.

5. Destroy Date is entered in KC Award document & the status is changed to closed and the account is closed in KFS.

90 Days Prior to Closeout CGA:Note: Most of the steps for completing this task are the same, pre and post KC.

1. Reviews project expenses for appropriateness and works with the Dept to remove unallowable charges.

2. Drafts copies of final financial reports and forwards to the PI/Dept/College for review and approval. Sends final versions to the sponsor and to the PI, if requested.

3. Sends final closeout memo to the PI/Dept/College confirming items such as property, intellectual property and date of submission of the final technical report and requests the PI sign and return the memo.

90 Days Prior to Closeout CGA cont.:

4. Unexpended balances are de-obligated and all cash balances are resolved.5. Continues to monitor the account to ensure a zero balance.6. Monitors Cost Sharing until certification from effort

reporting is complete.7. When closeout requirements are complete, CGA closes the

KFS account.

90 Days Prior to Closeout CGA cont.:

8. CGA opens the KC Award and clicks edit.

9. On the Payment, Reports & Terms tab Closeout panel, Destroy Date and Final Submission Dates are entered.10. In the Award Details and Dates panel, Institution

subpanel, the KC Award Status is changed to Closed.11. On the Award Actions tab, click submit and close.

Closeout

Closeout

Closeout

Closeout

Closeout

Record Retention

Current State - Record Retention1. CGA retains account files on site until all closeout activities are resolved.

2. Departments retain technical data and other files for the full retention period.

4. Physical files are retained until the destroy date.

3. CGA sends closed award files to University Archives for offsite storage.

Record Retention - KC1. CGA retains account files on site until all closeout activities are resolved

2. CGA sends physical files to MSU University Archives.

4. If the archive period has expired and there is no ongoing audit, the file/data is destroyed on the Destroy Date.

3. Departments retain technical data and other files for the full retention period.

KC Record Retention StepsNote: Most of the steps for completing this task are the same, pre and post KC.

1. With an Award document status of Closed.2. Physical files sent to MSU Archives.3. Technical data and other project related files also need to

be retained for the full retention period by the Dept/College.

4. If the archived period has expired and there is no ongoing audit, the file is destroyed on the Destroy Date by MSU Archives.

Pre-Closeout, Closeout & Record Retention exercise

Use the handouts provided to perform Pre-Closeout, Closeout and Record Retention steps

Note your Award number as you will need it later

We are here to help

Please don’t hesitate to ask questions

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For more information

The following materials are available at http://ra-project.vprgs.msu.edu/user-education-and-resources to aid you in updating report tracking information: Updating Report Tracking Information job aid Updating Report Tracking Information video

Questions???

Thank you for your attendance and participation!