Sponsored Projects Post Award Administration

1
Sponsored Projects Post Award Administration

• ASD Academy Presentation
• May 17, 2004

2
Setting the Stage

• For I am mindful that scientific achievement is
  rooted in the past, is cultivated to full stature
  by many contemporaries and flourishes only in a
  favorable environment. No individual is alone
  responsible for a single stepping stone along the
  path of progress, and where the path is smooth,
  progress is most rapid.
• --Ernest Orlando Lawrence

3
Agenda

• Sponsored Project Award Administration
  Environment and Research Team Responsibilities
  (Phyllis Gale)
• The Sponsored Project Awards and the SPAA Package
  (Phyllis Gale)
• Post Award Administration Non Financial
  (Phyllis Gale)
• Post Award Administration Financial (Phyllis
  Gale)
• Project Costs and Billing (Jerry Kekos)
• Cash/Funding Management (Sallie Frainier)
• Closeout (Andre Bell, and Lisa Rebrovich)
• Award Management Report and
• E-Notifications,

4
Award Administration Environment

• FY2003 1,158 Funding Actions resulting in
  118.2M of funding
• FY2003 - there was 927 active Sponsored Project
  Awards with 285 different sponsors
• FY2003 - there were 347 new sponsored project
  awards with 163 different sponsors
• Every Berkeley Lab Scientific Division has at
  least one active sponsored project award
• Sponsored Project Awards represent about 25 of
  the Labs research funding

5
Award Administration Environment

• The research is accomplished
• by dedicated research
• teams typically composed of
• PI
• Divisional Administration
• Sponsored Projects Office
• Finance
• Other Central Functional Administrative Units
• Procurement, Property Management, Patents.
  Technology Transfer, EHS, Human and Animals
  Regulatory Commission, Records and Archives,
  Human Resources, and Internal Audit

6
Award Administration Environment

• Sponsored research is conducted in a regulated
  environment that come from a multitude of
  different sources
• Federal Government as represented by the U.S.
  Department of Energy through Contract 98
• The University of California
• Berkeley Laboratory
• Terms and conditions of our agreements with the
  Sponsors

7
Award Administration Environment

• All members of the research team are responsible
  for the conduct of research in a prudent and
  ethical manner through
• understanding relevant laws, regulations,
  contract and grant requirements pertaining to
  research administration
• ensuring compliance

8
Award Administration Environment

• What happens if there are violations of policy or
  regulation occurs during the course of a
  sponsored project, what are the consequences?
• More scrutiny by sponsors and audit agencies,
  corrective action plans, more regulations,
  potential fines and penalties, potentially
  disallowed costs, harm to the health and safety
  of individuals, and harm to Berkeley Labs
  reputation.

9
Responsibilities of the Research Team Principal
Investigator

• UC Contract and Grants Manual defines Principal
  Investigator as the individual with primary
  responsibility for
• The scientific integrity and management of the
  project
• The financial management of the project funds
• Adherence to all applicable DOE and University
  policies and
• Adherence to externally imposed sponsor terms and
  conditions including reporting, deliverables, and
  record keeping requirements contained in the
  award documents
• UC Contract and Grants Manual
• Chapter 10 Internal University Administration

10
Responsibilities of the Research Team Division
Accountabilities for the PIs Performance

• Division Directors are accountable for the
  performance of LBNL PIs under their supervision.
  Basic responsibilities include
• Determining an individuals eligibility for PI
  status
• Determining the consistency of the proposed
  project with the objectives of the organizational
  unit

11
Responsibilities of the Research TeamDivision
Accountabilities for the PIs Performance

• Determining the appropriateness and acceptability
  of research personnel, space, equipment, and LBNL
  financial commitments contained in the proposals
  for sponsored projects
• Assuring the project performance is consistent
  with DOE and UC policies along with externally
  imposed sponsor terms and conditions.
• UC Contract and Grants Manual
• Chapter 10 Internal University Administration

12
Responsibilities of the Research Team -
Divisional Administration

• Supports PI in post award administration
• Works with the PI, SPO, Finance and other
  functional organizations to ensure compliance
  with award terms and conditions, DOE, University,
  Laboratory, and Sponsor policies
• Initiate transactions to support research

13
Responsibilities of the Research TeamSponsored
Projects Office

• UC Contract and Grants Manual divides the
  responsibility for contracts and grants between
  their Sponsored Projects Offices and the
  Principal Investigators
• The Berkeley Laboratorys Sponsored Projects
  Office is the only office responsible for the
  formal legal obligations related to the
  solicitation and acceptance/execution of
  extramural funding as delegated by DOE and the
  University of California
• UC Contract and Grants Manual
• Chapter 10 Internal University Administration

14
Responsibilities of the Research Team Sponsored
Projects Office

• Authorizes Sponsored Project Awards
• Negotiates the award and the required sponsor
  approvals during the course of post award
  administration
• Partners with the PI, Division Administration,
  Finance and other functional organizations to
  ensure compliance with award terms and
  conditions, DOE, University, Laboratory, and
  Sponsor policies

15
Responsibilities of the Research Team Accounting
and Budget

• Partners with the PI, Division Administration,
  Sponsored Projects Office and other functional
  organizations to ensure compliance with award
  terms and conditions, DOE, University,
  Laboratory, and Sponsor policies
• Bills and receives payments from the Sponsor
• Negotiates and sets Burden Rates and provides
  guidance for budget formulation
• Interfaces to DOE to assure the Financial Mod to
  Contract 98 contains sufficient resources for the
  award expenditures

16
Responsibilities of the Research Team Other
Functional Central Administration Organizations

• Partner with PI, SPO, and Divisional
  Administration to ensure compliance with award
  terms and conditions, DOE, University,
  Laboratory, and Sponsor policies
• Reviews and validates transactions to support
  research

17
Sponsored Project Awards

• All Sponsored Project Awards are part of the DOE
  Work for Others Program
• A Sponsored Project Award is can be defined as
• Externally funded by a Non-DOE HQ Sponsor
• Governed by terms and conditions specified in a
  written agreement between the sponsor and DOE or
  UC/Lawrence Berkeley National Lab
• Governed by regulations set out by DOE, the
  University, and Berkeley Laboratory

18
Sponsored Project Award Components

• Statement of Work
• Budget
• Deliverables
• Disposition of Property
• Sponsored Project Award Agreement with terms and
  conditions
• A Finite Period of Performance
• Detailed Fiscal Responsibility with the
  expectation to return of funds at the end of the
  period of performance

19
Sponsored Project Award Authorization

• Only the Sponsored Projects Office has DOE and
  University of California delegation to accept
  Sponsored Project Awards
• If a PI, divisional administration or others
  receive original award documentation, it should
  be immediately forwarded to the appropriate SPO
  Contracts Officer so it can be reviewed, conduct
  negotiations (if required), and authorize the
  award.

20
Sponsored ProjectsAward Package

• When is an award authorized and when can the
  science begin?
• No Award may be authorized nor expenditures
  incurred until an award has been fully executed
  by either DOE or LBNL/SPO, all other requirements
  are met (i.e. advance payment received) and
  authorized by SPO.
• What is an Award Package?
• The Award Package consists of a Sponsored Project
  Award Authorization and a copy of the agreement
  along with other documentation that SPO may
  include (i.e. copy of advance check).

21
Sponsored ProjectsAward Package

• What is a Sponsored Project Award Authorization
  (SPAA)
• It is a report from the RAPID system with
  specific information highlighted for the
  administration of the award.
• It is issued by SPO to authorize initial award
  and post award administrative and funding actions
• Additional funding (including incremental)
• Changes to the Award (including scientific,
  administrative, financial, and no cost
  extensions)
• It is issued by Accounts Receivable for
  deobligations and refunds based on final invoices
  and financial reports.

22
Reviewing the Award Package and Opening a Project

• Review the SPAA
• Review the Agreement
• Additional Documentation
• Note if the Sponsor has a separate administrative
  manual (i.e. NIH) for additional terms and
  conditions governing the award
• Call your SPO CO if you have
• Questions!

23
Terms and Conditions to Review

• Committed Funding Amount and Payment Method
• Period of Performance
• Property
• Publications
• Intellectual Property and Rights in Data
  Integrity
• Statement of Work for Deliverables
• Any restrictions or unusual terms that were noted
  in the SPAA

24
Terms and Conditions

• The Agreement and/or the sponsors administrative
  manual can contain requirements for
• prior approvals for administrative actions
  including foreign travel, change in PI, PI
  absence from the Lab, change in Key Personnel,
  change in scope of work, addition of Human and/or
  Animal Subjects to Research, RD Subcontracts,
  budget expenditures, purchase of equipment, etc.
• And without prior approval
• the costs could become
• potentially unallowable costs.
• And balance with the cost
• principles of Contract 98

25
Post Award Administration

• Deviation from Award Terms and Conditions
• If in the course of research there is any
  deviation from the terms and condition,
  consultation with the SPO CO is required to
  determine if prior approval by the Lab or the
  Sponsor is necessary and if the award should be
  amended.
• If it is implemented prior to sponsor approval
  and amendment of the agreement (if required), the
  costs may be unallowable.
• Prior approval requests must be in writing and
  include the endorsement of the SPO CO.
• Sponsor approvals must be in writing (including
  e-mails) and must be on file in the SPO File

26
Post Award Administration

• Human and Animal Subject Approvals Approvals
  are required to be current throughout the life
  cycle of the award. Adding Human and/or Animal
  Subjects to research is a change in scope of work
  and must be approved for the research award prior
  to commencement.
• Some sponsors (i.e. NIH) require prior approval
  for this type of change in the scope of work
• Lapses in approval, not obtaining approval, or
  not obtaining prior approval may result in
  unallowable costs
• Questions? Contact EHS/HARC
• http//www.lbl.gov/ehs/health_services/harc/hsc.s
  html

27
Post Award Administration

• Conflicts of Interest
• Research and Consultant Agreements
• When there is evidence of a potential conflict of
  interest situation between an employee's personal
  affairs and Laboratory work, policy requires an
  independent substantive review of all aspects of
  the matter.
• Questions? Contact the Laboratory COI
  Coordinator
• http//www.lbl.gov/LBL-Work/RPM/R2.20.htmlRTFToC8
  
• Human Subjects
• Researchers who have an independent role must
  submit a Checklist for Conflict of Interest for
  Human Subjects at the time of submitting a
  protocol
• Questions? Contact EHS/HARC
• http//www.lbl.gov/ehs/health_services/harc/hsc.sh
  tml

28
Post Award Administration

• Procurements POs and RD Subcontracts, and
  Consultant Agreements
• A purchase order or subcontract (including NIH
  Consortium Agreement) cannot exceed the current
  committed funding amount or the expiration period
  of the parent award.
• Work with Procurement to establish incrementally
  funded agreements that will mirror the parent
  award
• Some Sponsors (i.e.) require prior approval
  before an issuance of a research subcontract or
  consultant agreement

29
Post Award Administration

• Equipment
• Check the agreement and the proposal budget
  regarding equipment and sponsor administrative
  manual
• Must have funding for entire purchase price
  committed in the award prior to making the
  purchase
• Some Sponsors require prior approval before
  equipment at a specific threshold can be
  purchased
• Example NIH Grants Title vests with UC/LBNL -
  Prior approval to purchase equipment over 25K
  is required
• NonFederal Standard Agreements equipment over
  5,000 vests with the Sponsor (NOT DOE). If the
  equipment was not budgeted for at the time of
  proposal and the LBNL PI would prefer to have DOE
  hold title, then the agreement will have to be
  amended to reflect the action.
• If not, at the end of the period of performance,
  the Sponsor can request that the equipment be
  sent to the Sponsor at the Sponsors expense

30
Post Award Administration

• Change in Scope of Work
• If there is a substantial change, PI should
  discuss with Sponsor
• Change in Scope of Work includes changes in
  research plan, introduction of human subjects,
  introduction of animal use, application of a new
  technology, etc.
• Some Sponsors (i.e. NIH) require that written
  prior approval to be received prior to all
  instances of change in the scope of work
• The Agreement should be amended to reflect the
  change in direction and Sponsors approval.
• If approval is not received, the costs of the
  research conducted may be unallowable.

31
Post Award Administration

• Change in Principal Investigator or Key Personnel
  Status
• If the PI plans to leave the Laboratory or will
  be absent for a considerable period of time, then
  the Sponsor should be contacted so there is an
  orderly transition of research both
  scientifically and administratively.
• Some Sponsors (i.e. NIH) require that written
  prior approval change in PI or Key Personnel be
  reviewed and approved prior to the action take
  place.
• The Agreement should be amended to reflect the
  change in PI and Sponsors approval.
• If approval is not received, the costs of the
  research conducted may be unallowable.

32
Post Award Administration

• Publications If the PI has been asked by the
  Sponsor to restrict it may violate LBNLs ability
  to publish to an extent that it violates the
  Laboratory Policy on the Dissemination of
  Research Results.
• The Laboratory Directors approval must be
  obtained prior to agreeing to the requested
  change.

33
Post Award Administration

• Intellectual Property If the PI has been asked
  by the Sponsor to handle the disposition of
  Intellectual property differently that in the
  agreement, the agreement may need to be amended.
  Only SPO COs can amend an agreement changing IP
  terms in consultation with DOE and other LBNL
  departments.
• Rebudgeting Some Sponsors (i.e. NIH) require
  prior approval if expenditures deviate from the
  budget that was approved at the time of the
  award. Consult with SPO CO if determine if there
  is a rebudgeting requirement associated with your
  award.

34
Post Award Administration

• Additional Funds If additional funds are needed
  and were not approved in the original proposal, a
  new proposal and amendment of the agreement will
  be required. LBNL cannot unilaterally spend
  funds beyond the current contractual limitations.
  Continuation funding can be requested through
  the Bridge Funding policy. Only when Bridge
  Funding is approved and authorized through the
  issuance of a SPAA can continuation funding be
  expensed.
• No Cost Extension If additional time is needed
  to complete the work as proposed, the agreement
  will need to be amended formally. LBNL cannot
  unilaterally work beyond the current contractual
  period.

35
Objectives of Good Research Management

• To make the best use of available funds to
  achieve research outcomes
• To avoid problems of fraud, waste and abuse of
  sponsor support

36
Cost Principles Under Contract 98

• All awards are subject to the Cost Principles of
  Contract 98.
• The sponsor may include more restrictions in the
  agreement.
• Any cost being charged to a Sponsored Project
  Award must satisfy the following Criteria

37
Cost Principles Under Contract 98

• ALLOWABLE All costs must be allowable under
  Contract 98 and/or the terms of the particular
  award
• ALLOCABLE The cost must be allocable, that is,
  the award which paid the expense must benefit
  from it.
• REASONABLE The expense must be reasonable, that
  is, the cost reflects what a prudent person
  might pay.

38
Cost Principles Under Contract 98

• If costs are not allowable, allocable, and
  reasonable, then they may not be charged to a
  Sponsored Project Award.
• In addition, all costs should be handled
  consistently across the Laboratory. If a cost is
  usually charged to a burden, then it cannot be
  charged to an award.
• LBNLs list of Unallowable costs under Contract
  98 can be found at
• http//www.lbl.gov/Workplace/FSM/UnallowableCosts.
  htm

39
Effort Reporting

• Sponsors expect to pay only for those portions of
  employee effort that are actually devoted to
  their projects.
• Periodically, government and internal auditors
  review our payroll charges to enforce this
  expectation.
• In conducting these audits they are assessing
  whether the salary charged to project accounts is
  for effort that appropriately benefited those
  projects. Auditors are checking the accuracy of
  payroll charges by verifying that the percentage
  of the employee's salary charged to a sponsored
  project account reasonably approximates the
  actual proportion of the employee's FTE effort
  which was devoted to that project.

40
Cost Accounting Standards

• A contractors practices used in estimating costs
  in pricing a proposal shall be consistent with
  his cost accounting practices used in
  accumulating and reporting costs.
• A contractors cost accounting practices used in
  accumulating and reporting actual costs for a
  contract shall be consistent with his practices
  used in estimating costs in pricing the related
  proposal
• Excepted from 48 CFR Part 9904

41
Project Costing and Billing

• Jerry M. Kekos

42
Responsibilities
43
Bottom Line

• Principal Investigator
• Ultimate Scientific Responsibility
• Ultimate Budget Responsibility

• Division Analyst, Budget Office, Controller,
  Accounts Receivable and Sponsored Projects Office
• Advisor
• Facilitator
• Monitor

44
Principal Investigator

• Manages award within funding and time limits
• Assures charges are allowable reasonable
• Responsible for personnel assignments
• Approves the Subcontract requisition
• Agreement
• Payment
• Ensures Sponsor pre-approvals are in place before
  event execution
• Re-budgeting
• Key personnel
• Human/Animal
• Exercises responsible fiscal control
• Ensures compliance and reports non-compliance
• Responsible for training
• Financial
• Administrative

45
Division Analyst

• Serves as an Advisor
• Reviews and understands the Awards Terms and
  Conditions.
• Assures the that all award costs are treated
  consistently with regard to direct and indirect
  allocation and Cost Accounting Standards.
• Transactions are within the award funding
  (contract value), available cash balances, and
  period of performance.
• Reasonableness of cost of the transactions
• Reasonable allocation of the cost

46
Division Analyst

• Serves as a Facilitator
• Processes financial transactions (i.e. certifies
  invoices).
• Reviews and analyzes financial reports for
  sponsored awards
• Prepares documents and provides information for
  re-budgeting if required by Sponsor.
• Prepares requests for Resource Adjustments (cost
  transfers) and validates for posting by
  Accounting.
• Prepares documents and provides information for
  compliance with effort reporting (such as "NIH
  Other Support") on the sponsored award

47
Division Analyst

• Serves as a Monitor
• Project Costing
• Ensures the correct burden codes and other
  attributes are assigned to the proposal and the
  project.
• As project nears closure a greater importance is
  placed upon monitoring certain costs
• Equipment
• Subcontracts
• Large supply expenditures
• Closely track funds in vs. cost expenditures-
  request bridge when needed and appropriate
• All Costs must be in support of the project.
• Billing
• One of the Division Analysts most important role
  is working with the PI and others to get the
  costs associated with an award right before it is
  invoiced.
• Tools to Manage
• Cost Browser
• Award Management
• Soft Closes

48

• Budget Office
• Pre-audit selected financial transactions
• Provide institutional oversight on resource
  adjustments
• Perform risk analysis? ensure compliance
• Reports instances of financial non-compliance

• Controller/Accounts Receivable
• Prepare invoices to sponsors in timely basis
• Prepare interim financial reports (with
  Divisions)
• Approve or recommend approval of unexpended fund
  carry-forward
• Assists P.I. Divisions with procedural
  questions (billing payments)
• Proactively interacts with Sponsor during
  collection process
• Reports instances of Financial non-compliance

49
Sponsored Projects Office

• Authorizes Award Funding in RAPID and Distributes
  a SPAA
• Assists P.I. with procedural management of active
  research projects
• Reports instances of non-compliance

50
Points to Remember

• Provide a seamless operation
• Everyone clearly knows what their roles are as
  well as how they fit into the larger picture
• Nothing gets
• passed,
• punted or
• dropped
• Be Proactive
• Take Responsibility
• Partner with other functional groups
• Ignorance is not bliss

51
Sponsored Projects Post Award Administration

• Accounts Receivable (AR) responsibilities
• Billing cycle
• Invoice types
• Final invoice
• Funding and award management
• Unbilled and bridge funds
• Cash management and procedures to alleviate
  negative cash position on non-federal awards

52
Sponsored Projects Post Award Administration

• Accounts Receivable Responsibilities
• Billings to sponsors
• Collection activities
• Invoice and advance payment application
• final invoicing sponsors 90 days after project
  completion
• Refunds of any unused funds to sponsors
• Various financial status reports to sponsors and
  DOE

53
Sponsored Projects Post Award Administration

• Monthly cutoff for resource adjustments 25th of
  the month
• Each month on Day 2 of the monthly close, 29th
  of the month, the Project Cost (PC) to Billing
  interface runs
• This process gathers the project costs (up
  through cutoff) charged to the award and creates
  invoices
• Invoices are sent five days working days after
  month-end
• Invoices are due upon receipt

54
Sponsored Projects Post Award Administration

• Most federal agencies are invoiced and make
  payment via electronic means using the electronic
  Intra-governmental Payment and Collection (IPAC)
  system
• National Institutes of Health (NIH) payments are
  via electronic drawdown
• Certain Department of Army awards payments are
  made quarterly
• DOE Integrated Contractors (other DOE Labs)
  payments are via transfer vouchers but shortly
  invoices will be created and payments submitted
  via check or electronic funds transfer (EFT)

55
Sponsored Projects Post Award Administration

• At the end of an award AR works with SPO and
  Divisions to ensure all final costs are in,
  awards and projects are closed, and final
  invoices are submitted by the 90 day point
  (typical time period for final invoices)
• Refunds of unused monies are processed and
  usually take 90 days
• The refund amount is requested from Department
  of Treasury via DOE

56
Sponsored Projects Post Award Administration

• Contract specific closing procedures are found
  at
• http//www.lbl.gov/Workplace/CFO/SPO/Closeouts/Cl
  oseout_Body.htm

57
Sponsored Projects Post Award Administration

• Proper funding management of sponsored research
  requires close coordination between P.I.,SPO,
  Divisions, and AR
• Ultimately the P.I. has responsibility for all
  aspects of award management including funding,
  budgeting, spending and closeout
• Incurring costs greater than funding or past the
  awards period of performance is against federal
  regulations and results in unbilled costs

58
Sponsored Projects Post Award Administration

• The following is a list of unbilled types
• Costs exceed contract The contract is within
  Period of Performance (POP) but total cost is
  higher than total funding
• Credit costs The contract is within POP but the
  invoice payment plus advance paid/or total
  receipts is higher than total cost
• Past POP with funds The contract is past POP
  but there is advance paid/or total receipts
  available to offset costs
• Past POP, no funds The contract is past POP
• but there is no advance paid/or total receipts
  available to offset costs
• Review Requires further research to determine
  reason for costs in unbilled

59
Sponsored Projects Post Award Administration

• Resolution of unbilled costs should be initiated
  at the Division level and requires either an
  additional increment of funding from sponsor,
  extension of the period of performance, or
  removal of the costs to the appropriate project
• Bridge funding must be requested in order to work
  prior to receipt of advance funds or continuation
  of work in excess of funding
• Bridge funding is provided by UC and the lab has
  a total allocation of 2.7M
• To request bridge funding, fill out a bridge
  funding request form and submit to the Budget
  Office. Contact Budget with procedural questions
• Cash management requires that costs not exceed
  the cash received to date on the award (advance
  invoice payments)

60
Sponsored Projects Post Award Administration

• To request bridge funding, fill out a bridge
  funding request form and submit to SPO
• The form is located at http//www.lbl.gov/Workplac
  e/FSM/FSMDeptsandCriticalLinks.htm
• The bridge funding policies and procedures are
  under review by the CFO organization and will be
  changing. Any changes in procedures will be made
  known to you shortly

61
Sponsored Projects Post Award Administration

• Cash management requires that costs not exceed
  the cash received to date on the award (cash
  advances invoice payments)
• Currently DOE is scrutinizing sponsored project
  work to determine if laboratories are in a
  financially vulnerable cash position
• In order to ensure the Lab is not in a vulnerable
  cash position LBNL is stepping up the collection
  practices by coordinating closely with the P.I.,
  Division, and SPO
• Important Note Delinquent payments primarily
  occur on non-federal sponsors. Most federal
  sponsors payments come either automatically
  through drawdowns or other electronic means

62
Sponsored Projects Post Award Administration

• 30 days past due phone call and dunning notice
  to sponsor by AR. Calls logged into PeopleSoft
  AR Conversations
• 60 days past due phone call and second dunning
  notice to sponsor by AR. Calls logged into
  conversations. AR will notify SPO CO and
  Division Analyst if there are issues
• 90 days past due Third dunning notice sent and
  notification to SPO CO and Division Analyst. SPO
  issues a notice (via fax) to sponsor that payment
  must be received by end of month or work will be
  suspended

63
Sponsored Projects Post Award Administration

• Division Analyst will let P.I.know that SPO will
  contact sponsor regarding possible suspension of
  work. All calls logged into Conversations
• 120 days AR notifies SPO CO and Division
  Analyst that work should be suspended and the
  projects closed effective first day of the
  following month if payment not received
• SPO issues written notice via fax to sponsor that
  work has been suspended and a termination notice
  will be sent in 30 days if the payments have not
  been received

64
Sponsored Projects Post Award Administration

• Division Analyst informs P.I. That SPO will
  contact sponsor regarding termination and
  suspension of work. Calls logged into
  Conversations.
• 150 days AR manager follows up with the sponsor
  to collect payment and notifies SPO CO and
  Division Analyst if sponsor has not paid
• SPO issues a termination notice via fax to
  sponsor on 150th day that the award is terminated
  on the 165th day

65
Sponsored Projects Post Award Administration

• 180 days - AR supervisor notifies SPO CO and
  Division Analyst that the award is being
  submitted to DOE/Treasury for collection
• AR will notify all parties if payment received.
  It would have to be decided on a case by case
  basis to continue research with the sponsor and
  under what conditions to minimize the financial
  risk to LBNL.

66
Sponsored Projects Post Award Administration

• Some tools to assist you
• Award Management Report
• Monthly 737 report located on \\Issnov7\fsdata\Pub
  lic\777rpt\FY04
• Monthly Invoice Aging Report located on
• \\Issnov7\fsdata\Public\Aging_Report
• Roles Responsibilities Matrix located on SPO
  website
• PeopleSoft AR Conversations (Go/Manage Sales
  Activity/Collect Receivables/Use/Conversations.
  Input Customer ID. Notes section available for
  read/write)

67
Award Expiration and Closeout

• Managing Award expiration and closeout was
  reviewed at the RAPID Meeting on 3/19/04.
• Closeout usually entails the following
• Financial Reporting and/or Final Invoice
• Scientific Reports and Deliverables
• Intellectual Property Reporting
• The roles and responsibilities and procedures can
  be accessed at
• http//www.lbl.gov/Workplace/CFO/SPO/Closeouts/Clo
  seout_Body.htm
• Update on the Internal LBNL WFO/CRADA Closeout
  Checklist

68
Award Expiration and Closeout
69
Award Expiration and Closeout

• Tools to manage award expiration includes
• Award Management Report
• Monthly 737 report located on GPublic/777rpt
• E-Notifications for Award Expiration and Closeout

70
Award Management Report
71
E-Notifications

• Costs Exceed Award Funding (Contract Value) or
  Occur After the Period of Performance
• 25 of Funding Remaining.
• Costs have Exceeded Funding.
• Costs have Exceeded Funding thru a complete
  accounting cycle and Award and Projects close.
• Award Expiration and Closeout
• Award Expiration e-notices sent 90, 60, and 30
  days prior to end of the period of performance.
• Email Notification for Award Closeout sent one
  day after the expiration date.

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E-Notifications

• When will the E-Notifications start?
• May, 2004
• Initial e-mails will be captured on a
  spreadsheet and sent to Division Analysts for
  review, comments and action.
• Who will receive E-Notifications?
• PIs
• Division Analysts (Managed through Smartlists)
• SPO CO assigned to the award
• AR at the time of Award and Project Closeout

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Negative Funding

• If the award remains in a negative funding
  position, the award and project will close on the
  first of the month following 30 continuous days
  in a negative position within a one month
  accounting period.

April May June
4/1/04
5/1/04
6/1/04
Award goes negative 4/15/04
Award remains negative through 5/31/04
Award and Projects Close effective 6/1/04
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Questions?