Managing Your Sponsored Project

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1. Sponsored Project Administration Pre and Post Award Jackie Bendall, Director 4-7991 Office of Research Training & Compliance January 2009 2. Acronyms FAR (Federal Acquisition Regulation) OMB (Office of Management & Budget) NGA (Notice of Grant Award) RFP (Request for Proposal) RFA (Request for Application) FO (Funding Opportunity) CIS (Change inStatus) CFA (Center Finance Administrator) BPR (Budget Performance Report) MTDC (Modified Total Direct Cost) TDC (Total Direct Cost) FAC (Facilities & Administrative Cost) GCRC (General Clinical Research Center) For complete list of commonly used acronyms, please see 3. What constitutes Sponsored Research at GW? If one or more of the following criteria exist within a grants or contract proposal, it must be processed through the OCRO:The award requires a line-item financial report to the grantor/sponsor at any time during the life of the project. The award has a cost-sharing component (University, school, or department matching funds). The award is one of several to a project for which there is a project-wide financial reporting requirement (i.e., any of the granting/sponsoring entities require a financial report for the entire project). The grantor/sponsor controls the scope of the project and/or requires scientific or technical reporting of specific milestones as a condition of the grant/award. The award includes funds that will be re-granted or subcontracted by the University to non-GW entities. The award includes indirect costs recoveries. 4. What constitutes Sponsored Research at GW, cont. The award involves an Intergovernmental Personnel Act (IPA) agreement that places GW personnel on assignment to a Federal agency.The grantor/sponsor states in its award letter that it maintains the right to perform a detailed financial audit of the award expenditures.The proposal indicates a conflict of interest;The proposal contains the use of animals, human subjects, or hazardous agents requiring the review of OHRCTT; There are conditional obligations of the funding indicated in the award document or solicitation (e.g., time and effort, space, budget restrictions, return of unusedfunds, contingent payments, employment requirements); The award or solicitation contains intellectual property provisions, indemnification, hold harmless, provisions containing restrictions on publication of research results and other contractual provisions that place risk on the University. 5. Proposal Search Mechanisms Community of Science GW subscribes to this service.http:// The Illinois Researcher Information System (IRIS) http:// /iris/ The Foundation Center located right here in DC http:// / 6. doc_open_checked&dates =7&mode=Search Federal Business Opportunities http:// / For direct assistance in solicitation searches, please contact Laura Walker, Information Specialist in OCRO at 4-9136 or email at[email_address] . 7. Pilot Project with Cayuse Web Based Streamlined Proposal Submission Electronic Routing Limited Reporting Error Checks Supports Most submissions Pilot ends February 2009 Contact May Watling to be set-up (4-7990) 8. Responding to Solicitations/Funding OpportunitiesKnow the difference between an RFA , RFQ , RFPAlways contact your RSC if you receive an RFP RFPs from federal sources result in contracts (not grants or cooperative agreements). Contracts result generally from a competitive selection process and are subject to Procurement regulations of the FAR. Always notify your RSC in advance if you know the solicitation or funding opportunity you are responding to. RFPs contain representations and certifications that must be completed at proposal submission. RFPs may contain preparation of small business and small disadvantaged business subcontracting plans for any anticipated award over $500K 9. Elements of a Proposal Statement of Work (must in detail explain the scope of the project, including detailed scope of proposed collaborators/consultants. Budget Budget Justification Resources (if necessary) CVs/Bios/Publications Reps and Certs (if necessary) Subrecipients budget/sow/budget justification/letter of intent 10. Letter of Intent A Letter of Intent (LOI) expresses the intention to submit a proposal in response to a particular program announcement or request for proposals.LOIs are generally solicited by the sponsor in conjunction with an announcement that is expected to generate widespread interest. If the LOI contains budget estimates or representations, it should be reviewed and approved by the appropriate RSC prior to submission. The Managing Director of Research Support and Analysis will sign the letter as an indication of the institutions concurrence with the planned submission. 11. OMB Circular A-21 Cost Principles Read GWs policy on Direct Charging of Administrative Costs (very important) Understand what costs are unallowable on FEDERAL awards in accordance with OMB Circular A-21 at Understand the exceptional circumstances rule of thumb for charging administrative costs. 12. Accounts typically not charged to federally sponsored projects Advertising - 55151 Bad Debt Expense - 53911Entertainment - 52611Fines, Fees, and Penalties - 52442GW Advertising - 59523 Lobbying - 52616Metro Area Alumni Activities - 52722Prizes and Awards 57121 Publicity & Promotion 55152 MISC Expense 52691Office Supplies 54111 Postage/Express Mail- Non-GW 53411 Telephone Direct 53311 Misc Supplies - 54541 13. Exceptional Circumstances - Large complex programs such as Clinical Research Centers, primate centers and program projects that entail managing teams of investigators from a number of departments and institutions. - Projects which involve substantial data accumulation, analysis, entry, surveying, cataloging, etc., such as epidemiological studies, multi-center clinical trials. - Projects involving extensive travel or meeting arrangements for a large group of participants.- Projects whose exclusive purpose is for the preparation of manuals/books, large reports outside the normal technical reports. 14. Budget Planning Personnel (expressed in % of total GW effort) include anticipated salary increases if multi-year. (Jan 1 admin and research staff and Med Ctr. Staff, and July 1 for MC Faculty and Jan 1 for University Faculty, not the anniversary of the project award). Fringe Benefits SuppliesTravel (Foreign/Domestic) Equipment Subawards Independent Contractors/Consultants Space/Rental MTDC/TDC (remember exclusion criteria for MTDC) 15. Fringe Benefits Fringe benefits are charged as the University provides a percentage of salaries for all regular full-time employees and certain part-time employees to cover such benefits as retirement, health care, and tuition benefits. The funds generated are pooled and eligible employees may draw from them to the extent appropriate to the terms of their employment. There is a separate rate for temporary hourly wage employees who work 700 hours or less per year. Fringe benefit rates are determined annually; consult the Office of the Chief Research Officer or its Web site ( http:// ) for current rate information. 16. Budget Terms cont. MTDC = Modified Total Direct Costs The base to which indirect costs rates are applied. Modified Total Direct Costs consist of "salaries and wages, fringe benefits, materials and supplies, services, travel, and subgrants and subcontracts up to the first $25,000 of each subgrant or subcontract (regardless of the period covered by the subgrant or subcontract).Exclusions from Base: Equipment, capital expenditures, charges for patient care, tuition remission, rental costs, scholarships, and fellowships as well as the portion of each subgrant and subcontract in excess of $25,000 shall be excluded from modified total direct costs. 17. Budget Justification Must explain each proposed cost to project and how it is necessary to help accomplish the aims of the project Any cost charged to a project must be specifically for that project alone Do not use generic terms for supplies, if office supplies are required, indicate what kind, if you are using MISC supplies, indicate what types of MISC supplies are being purchased. Travel cost must explain where, when and why. 18. Optional Budget Tool Talk to your RSC Do not cost share unless its mandatory Review the application instructions in case a specific budget format is required Know your institutions rates 19. Budget Templates 20. What internal forms are required for routing? Proposal Routing and Approval Form/Non-Competing Continuation Routing Form(if applicable) http:// Conflict of Interest Disclosure Form All proposal submissions require the following no matter what : The proposal in accordance with the sponsors solicitation or guidelines. 21. Proposal Submissions Workflow Principal Investigator (PI) informs OCRO of RFP/RFA and initiates documentation Research Service Coordinator (RSC) completesFirst Review of Proposal Pre-Award Specialist completesSecond Review of Proposal Managing Director Research Support and Analysis completesThird and Final Review Proposal Complete PI submits proposal to RSC Proposal inaccurate/incomplete Proposal inaccurate/incomplete After Final Approval returned to Pre-Award Specialist for Electronic Submission Paper proposal submissions are routed to the department for mailing PI initiates/informs RSC of RFP (Request for Proposal) and in turn, RSC sends RFP information to the Pre-Award Specialist and Contracts Manager) Route to Dean for signature Submit to Anne Hirshfield( ifvoluntary cost-sharing) Return to RSC 22. Optional Forms Required for the following cases: Cost Sharing Form (Attach if you plan to cost-share, either mandatory or voluntary/committed) Are multiple investigators involved?If so, submit this form: Is a sub-award to another collaborator required?Remember, subwards are issued when GW plans to collaborate with another entity to help perform a part of the statement of work.Submit the following checklist with forms: Are human subjects involved?Submit form on website Are animals involved?Submit form on website Are biohazards involved?Submit form on website:http:// 23. Forms are filled out, where do I route my proposal? All investigators involved on the project must sign the proposal routing form first;for multi-year cross departmental situations, it is the lead PI who is responsible to ensure that all signatures are contained, all assurances are met, and all terms and conditions upon receipt of award are complied with. Chairs, Deans, Directors, VPs must sign where appropriate. Additional signature(s)- As required.Loudon Campus:the Executive Director and the VP for Academic Affairs must sign all proposals originating from or involving theLoudoun Campus . Medical Center -The Associate VP for Health Research, Compliance, and Technology Transfer must sign all proposals originating from or involving theMedical Center . The Research Service Coordinator (RSC) must initial before the proposal is received and signed by GWs Institutional Official (Hal Gollos) in OCRO. 24. What is Cost Sharing? Cost sharing are those costs borne/shared by the University, not the agency, and are proposed up front.There are three types of Cost sharing: MandatoryRequired by the agency in solicitation or guidelines; Voluntary Committed an implied willingness for the University to bear certain project costs contained in the proposal submitted to the sponsor. The commitment is not a requirement imposed by the sponsor. Requires approval from Anne Hirshfield.Must be tracked in the financial system if specified in proposal. Voluntary Uncommitted-neither a sponsor requirement nor a University commitment but represents additional costs incurred by the University beyond the levels in the proposal and/or award documents. Voluntary cost sharing is not specifically quantified in the proposal submitted to the sponsor. Federal regulations do not require the University to document voluntary cost sharing. 25. Must Nots of Cost Sharing University policy states that no cost sharing is allowed on federal sponsored projects unless its a mandatory requirement from the agency; Cost shared expenses must not be expenses already included under another sponsored project as cost sharing; Cost shared expenses must not be paid by any federal sponsor under another agreement, unless authorized by federal statute for that purpose and the sponsor approves these costs in writing. Federal regulations do not allow admin and clerical staff salaries or wages, inc. fringe benefits and salary dollars in excess of the stated NIH salary cap to be cost shared. 26. ADMINISTRATIVE ESTABLISHMENTS When the program officer has notified a PI that the proposal has been funded but there will be a delay from the grants management office in sending out the official paperwork, what can I do??? Request an Administrative Establishment via email from your Research Service Coordinator. This will allow the University sets up an award in the financial system before the official notice of award is received in order to allow the work to begin. Compliance approvals for the project must be in place before work begins (IRB, IACUC, etc.). These approvals are the PIs responsibility. Administrative Establishments are generally set for a three month period and may be extended.Your RSC can provide additional guidance. 27. Administrative Extensions and Funding Once approved, the RSC sets up the award as an Administrative Establishment in the financial system for a period of up to 90 days.If the award is not forthcoming, then at least two-weeks before the expiration of the Administrative Establishment period, the Principal Investigator should discuss the matter with the Chair and/or Dean and determine whether to recommend that the Administrative Establishment be extended for an additional period.Should an extension be desired, requests for existing Administrative Establishments must be processed and approved through same process as the originating Administrative Establishment. 28. Authorized Signatories Officials Authorized to Commit the University:Donald Lehman, Executive Vice President for Academic Affairs Carol Sigelman, Chief Research Officer Robert Donnally, Managing Director, Research Services & Operations *Hal Gollos, Managing Director, Research Support & Analysis (*Hal Gollos is the primary signature authority, however if he is unavailable for any reason then RSCs are notified about who will sign in his absence.) 29. PART II Post Award ActivityIve received my award:what happens now? Review the award document very carefully and read embedded links to terms and conditions or attached terms and conditions thoroughly.These terms will dictate to you what prior approvals are required should you anticipate the following: Request additional time to complete your project;Request a leave of absence or substitute a change in key/senior personnel; Move funds between budget categories (most re-budgeting is allowed unless it exceeds 25% of the total amount awarded) check the terms first though to ensure sponsor specific criteria. Request a sub-award (collaborator) or independent contractor for services not originally anticipated or budgeted for in the initial proposal submission; Request to purchase equipment not originally proposed Request for foreign travel 30. How is my award processed? All awards shall ultimately be received by Hal Gollos, OCRO;Award terms and conditions are reviewed and negotiated, if necessary by the Pre-award managers; Upon completion of negotiation, we have a fully executed agreement and the award is set up in Oracle. 31. Proposal/Award Combo Occurs when award arrives and a proposal was never submitted.OCRO will request retroactively that a proposal be prepared to support the award. Process is not encouraged, award set-up can be delayed.Terms may be unacceptable and will impact start date of project. 32. Fixed Price Awards Fixed price awards are risky.One price is set for the work, generally not recommended for research; Costs resulting in over runs cannot be recovered.Work performed should be at a level where predictability is accurate. No financial reporting, audit requirements, any reference to costs being reimbursable, are not subject to cost accounting standards or federal circulars except A-133 and no references to allowable expenditures or prior approval related to expenditures. Excess funds must beCaution:Over-pricing and large remaining balances create huge red flags to auditors. 33. Cost Reimbursable Awards Standard method of contracting with universities; Work performed is by reasonable efforts; Costs proposed are estimated; Provide payment forallowableincurred costs. Federal Funds are usually drawn down by letter of credit. 34. PI responsibilities Review terms and conditions of award; Conduct project according to SOW proposed; Notify your CFA, SRA or RSC of any changes such as a change in scope, leave of absence, addition of subcontractor, equipment purchase, etc. Monitor your expenditures closely; If committed cost sharing was proposed, ensure commitments are fulfilled and reported to GCAS in a timely manner; Complete effort reports; Provide care and maintenance of any property procured; Write and submit progress reports, fulfill deliverables as proposed; Review monthly payroll reports (ensure the person charged in the payroll report is the actuall person on project six digit account codes may cause error); Ensure subecipients perform in accordance with statement of work, complete deliverables on a timely basis. Submit invoices on time 35. Know how to interpret the reports sent to you and who to contact for questions: Payroll ReportsBPRs GM-139/GM-140 Invoices Thorough review of invoices are crucial in meeting the monitoring requirements of Contractors and Subrecipients.Effort proposed, potential cost sharing proposed, and review of other items proposed in the budget to ascertain work was performed to satisfaction is important before payment is approved.Issues with performance should be addressed immediately to avoid potential litigation. 36. Travel & Entertainment http:// Charges $35 and under (meals and incidentals) do not require backup, however it is always preferred. All charges must state relevance to the projects scope (what, where, who, how?) P-card use is subject to your departments rules. 37. Travel Advances & Reimbursement Advances may be issued for up to $100 per day up to a maximum of $500 per week for reasonable out-of pocket expenses.The preferred method for obtaining advances is via ATM withdrawal using the P-Card (Medical Center does not permit P-Cards for travel and entertainment). ATM advances may not be taken more than three (3) days before the expected travel. Cash advances at ATMs overseas are dispensed in local currency and travelers may check with the P-Card Office to determine the availability of ATMs in their destination country. Travelers may request travel advances in the form of direct deposit or GW check (depending upon their payroll setup) issued by AP within two (2) weeks of travel dates.Only one (1) outstanding advance is permitted at any time. The IRS requires that travel reimbursement requests be submitted in sixty (60) days.Reimbursements submitted later will become reportable and will be grossed with income and taxed. 30 day submittal at end of travel is strongly encouraged. 38. Fly America Act Federal Travel Regulations require that U.S. carriers must be used for travel that is to be reimbursed from federal grants and contracts. This policy is called the Fly America Act.Compliance with the Fly America Act is our responsibility. Exceptions to the Fly America Act:When the use of U.S. carrier service would extend travel time by 24 hours or moreWhen the costs of transportation are reimbursed in full by a third party, such as a foreign government or an international agencyWhen U.S. carriers do not offer nonstop or direct service between origin and destination. However, a U.S. carrier must be used on every portion of the route where it provides service unless, when compared to using a foreign air carrier, such use would: Increase the number of aircraft changes outside the United States by two or moreExtend travel time by at least six hours or moreRequire a connecting time of four hours or more at an overseas interchange point.Note:When one or more of the above circumstances apply, an explanation indicating the appropriate exception must be provided on the Travel Report. 39. Know how to purchase items (travel and supplies) for your project using the P-card The GW Procurement Card (P-card) is to be used to make low-dollar purchases ($2,500, or those that have special purchasing restrictions, must be processed through Procurement via a purchase order. Three categories:Goods only, goods plus travel & entertainment, goods, travel & entertainment and cash. It is the PIs and departments responsibility to monitor the uses of their P-cards. (Please note that the Medical Center doesnt allow P-cards for travel.) Charges must be within the award period, and they must be allowable on the Award per sponsors guidelines.All charges must be allocated through GWs Pathway system (p-card system online)! P-card charges and backup documentation must be approved by a supervisor. 40. Honorariums Honoraria are non-routine, monetary payments given to individuals in appreciation for their willingness to contribute to University events or projects of short duration, such as: presenting a lecture or speech serving as a discussant of or reviewing papers for a conference attending an advisory board meeting carrying out other short-term academic activitiesRequests for payments of honoraria must be accompanied by a Form W-9, or the equivalent information, and by documentation regarding the nature of the event in which the recipient of the honorarium will be participating (such as a program or agenda).A Supplier Registration Form and 20 Factors Test are not required for payments of honoraria. 41. Procurement In-A-Page 42. Independent Contractors Formerly referred to as Service Agreements. ICs operate as vendors, sell services to the general public during normal business hours; are not subject to Compliance requirements.Perform a service as part of the award, necessary but ancillary to the research being performed Fully burdened with FAC Subject to Procurement regulations Chart of Account codes are 55561 Contract Service Other (Commercial Independent Contractors), and 55111 Consultants (Individual Independent Contractors) Requisitions must reference these accounts.Documents necessary for processing can be referenced in the Procurement-in-a-page chart. RSCs prepare agreements, Individual Independent Contractor Agmt/ Commercial Independent Contractor Agmt. 43. Hiring an Independent Contractor 44. Subawards Agreements issued to subrecipients (e.g., Georgetown, MIT) when GWs prime award is a grant or cooperative agreement. Subrecipient performs a portion of GWs scope of work and its performance is measured by GWs PI.PI approval of invoice = acceptance of work Intent is to work collaboratively Dissatisfaction of work should be communicated to RSC immediately.(Stop work, termination) Any change in scope should be communicated to RSC in order to modify the agreement. Subrecipient may disclose invention, publish in journals Subrecipients are subject to terms and conditions of GWs award 45. Program Officers Acting as Contracting Officers PI contact with Program Officers should occur only on a technical basis.While Program Officers authorize funding commitments, they do not formally issue agreements/task orders/delivery orders/modifications. Contracting Officers/Grants Management Specialists are the formal administrative contacts for RSCs to communicate with. 46. Recruitment and Hiringon Sponsored Research Projects Sponsored Research Projects may be staffed through internal transfers or new hires. In preparing the research proposal, the PI must consider how the research project will be performed and the types of staff, schedule, and effort required to accomplish the projects technical goals.Staff Categories: Faculty Research Employees (includes Research Assistants/Graduate Students) Regular Graded Employees/ Administrative Students Regular graded employees/faculty may be employed to work on sponsored research projects as long as their work is necessary, allowable, and directly related to the Statement of Work. Upon award, the PI consults with the RSC and CFA to determine actual staffing requirements and detailed descriptions of duties. The RSC outlines the relevant actions to complete the hiring and/or transferring of staff, the CFA provides assistance to the PI in processing proposed personnel actions ALL PERSONNEL ACTION MUST BE COMPLETED BEFORE THE EFFECTIVE DATE OF HIRE/TRANSFER 47. Recruitment and Hiring of Research Employees GW has established eight research staff positionsResearch Assistant Senior Research Assistant Research Associate Senior Research Associate Post-Doctoral Scientist Research Scientist Senior Research Scientist Lead Research Scientist These titles may not accurately describe all possible positions associated with the conduct of research. Alternative working titles may be used for internal program purposes in addition to these eight official titles. GW research position descriptions and salary ranges are outlined in the Handbook on Sponsored Programs, sections 8.1.1http:// 48. Recruitment and Hiring of Research Employees (cont.) Process Complete the Request to Establish a New (Fill Existing) Full Time Research Staff Position Recruitment Steps (waivers of certain recruiting requirements are available in appropriate circumstances)Recruitment PlanAdvertising Selection Approving the Hire Request Extending Job Offer Completing Administrative Hiring Processes PI initiates Hire Documentation CFA enrolls the final candidate who is an external hire, upon acceptance of the job offer, in the first available New Employee Orientation session Upon completion of hire process, OCRO prepares Appointment Letter. If additional information is to be added to the appointment letter, PI/CFA notify the RSC 49. Recruitment and Hiring of Research Employees (cont.) New part-time or temporary positions may be established using simplified procedures which do not require a recruitment plan: Recruitment and Hiring of Regular Part-Time Research Staff (FTE 35% - 99%) The recruitment process for regular part-time research positions is under the PI and Department discretion. Once the candidate is identified, proceed with Completing Administrative Processes (step 3 of Hiring Full-Time Research Staff) Hiring of Temporary Research Staff (less than 35% FTE) Temporary wage employees are limited to 700 hours or less per fiscal year. Usually, an appointment for a period of less than six months is done on a wage basis payable bi-weekly. The hiring of temporary wage employees does not require recruitment or waiver of recruitment. Wages should be consistent with Research Position Classification Descriptions and salary ranges (hourly rate is calculated by dividing the annual salary by 2088). 50. Recruitment and HiringSpecial Cases Research Faculty How to Recruit Research Faculty Research Professors are often hired with a waiver of search. To hire a Research Professor when a waiver of search is requested, the Department Chair should send a memorandum through the School Dean to the Executive Vice-President for Academic Affairs. The memorandum should state the appointees name, proposed title, salary if applicable, and planned percentage effort. The memorandum should explicitly state that a waiver of search is being requested and the candidate's CV should be attached. Additional information may be required at the discretion of the relevant Dean or in the Medical Center. Special Hiring Cases Foreign Nationals Hiring is similar to the process above, but the appointment letter reflects the need for acquiring the appropriate visa to be eligible to work in the US. The International Services Office (ISO) is available to consult on issues associated with hiring foreign nationals. Plan in advance. Some federal projects have special terms and conditions on foreign nationals. Visiting Research Scholars International visiting scholars are typically hired for short periods following part time hiring processes, but with the added requirement for verifying eligibility to work in the US. ISO is available to assist with these as well. Human Resources Website To recruit and hire a regular staff position for a research program, go to the Human Resources website Guidelines for Recruiting at follow the links fromStaffing and CompensationtoRecruitment Process for Staff Positions . Where the process indicates Budget Office, refer to your RSC for review and approval. 51. Change in Status (CIS) forms CIS form must be initiated in order to transfer project personnel to/from sponsored programs, to change the allocation of personnel effort and to request other changes of employee status: change FTE, LOA, reclassification, etc Proper processing of CIS forms is essential in order to ensure that the University is correctly recording and charging labor on sponsored programs and for Effort Reporting purposes in accordance with the Universitys Effort Reporting Policy GW is partially implementing the CIS process on an electronic basis. This electronic processing is currently limited to a program for CIS forms involving Terminations Terminations should be processed electronically in advance of the effective date of termination.To avoid any overpayments PI should notify CFA and RSC on termination actions as soon as PI has made determination on termination Payroll processing dates are very important to keep in mind for successful outcomes of data entry for Hire forms and CIS forms.There will be instances in which circumstances prevent the processing of CIS forms according to established guidelines. In these cases, the initiator should contact either the CIS Form Help Desk at[email_address] .edu or the Director of Research Finance and Administration so that the OCRO is aware of the circumstances and can facilitate processing of these forms so that sponsored research personnel can be paid correctly and in a timely manner as soon as possible. 52. Recruitment and HiringQuestions Equal Employment Opportunity /Affirmative Action Statement Policy information can be found at ; on the Equal Employment Opportunity Office website , or by contacting the EEO Office at 4-9656.For research staff, employment is "at will" similar to other regular staff, i.e., employees may be terminated at any time for performance issues or other reasons even if program funding is otherwise available, in addition to termination due to program changes or lack of funding. For additional information about recruitment and employment related policies and guidelines, including information on employee salary, merit increases, benefits, employment, disciplinary action and terminations, please see: Faculty Code and Faculty Handbookhttp:// Online Guide for Supervisors Employee Handbook Office of Human Resource Services websitehttp:// /~hrs .Other University employment-related policies may be found in the Universitys Policies, Section III, Human Resources,http:// =2&indsho=0,95,114 .You may also contact HRS at (202) 994-9610. 53. Award Close-out90 Days Prior to Award End Date The award close-out process begins 90 days prior to the award end date PI receives automatic system alert via e-mail; RSC forwards copy of the alert to CFAPI receives90-day review from GCAS RA PI/CFA runs Budget Performance Detail Report (GM139)Review expenditures and any encumbrances Bring any discrepancies to RSCs attention including any other comments on CGAS 90-day review Ensure that all contractual agreements are fully executed, funds are encumbered and contractors/subrecipients are notified for deadlines on reports and final invoice submission Initiate actions needed for resolving identified discrepancies: process any outstanding orders, personnel actions, and direct payments. PI and CFA should review suspense and funds check failure reports and take corrective actions to clear all items Consider requesting a no-cost extension,if appropriate 54. Award Close-out (cont.) 60- and 30- Days Prior to Award End Date Continue to identify and process actions needed for resolving identified discrepancies: process any outstanding orders, personnel actions, and direct payments with special emphasis on items in suspense and funds check failure At the 30-day notice verify that all corrective actions submitted have been processed Ensure that all contractual agreements are encumbered 55. Award Close-out (cont.) Award End Date PI receives award ended today automatic system alert via e-mail; RSC forwards copy of the alert to CFA PI/CFA run Budget Performance Detail Report (GM139) and perform final verification of expenditures and any encumbrances Ensure that all invoices for outstanding obligation and reimbursement requests are processed including final invoices for contractual agreements Liquidated any encumbrances as needed Notify GCAS of any remaining issues that must be resolved prior to the preparation of the final financial report 56. Award Close-out (cont.) 30-, 60-, 90-day AfterAward End Date 30-, 60-, 90-day close-outas applicable based on the period allowed for submission of final financial report (close date) Verify that there are no outstanding issues and all corrective actions previously submitted have been processed Review draft financial reports prepared by GCAS and respond within 5 working days For fixed-price awards with residual funds, PI signs the certification and forwards to OCRO GCAS submits the final financial report to the sponsor with copies to the PIs and RSCs 57. No Cost Extension No Cost Extensions (NCEs)should be requested only if there is need for additional time to complete the SOW ProcessingNCEvaries depending upon whether a formal modification to the grant or contract is required Informal (i.e., approved by email) In the event the NCE has already been requested by the PI, the RSC shall obtain a copy of such correspondence together with any reply received from the sponsor.Once the RSC receives an approval from the sponsor, the revised End Date/Close Date established pursuant to the approved NCE is entered in the EAS system to extend the period of the award and any applicable cost sharing awards associated with that award. Formal NCEs: When the sponsor requires formal signatures or modification of the award to approve the NCE request PI initiates NCE request per award terms and conditions The NCE shall be forwarded to the RSC for review and forward the OCRO Managing Director for signature