GIM 39 Attachment: Closeout Process: A Bird's Eye View
The close of a sponsored project involves multiple University offices and resources. In order to comply with GIM 39, please review the roles, responsibilities and activities required to complete a successful and compliant closeout of a project.
A Closeout Checklist is available for use and desktop reference.
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45 days prior to end date of award:
OSP: Sends an e-mail notification to the PI and departmental administrative contacts listed on the eGC1 informing that the award is scheduled to end and that closeout responsibilities may exist.
PI/Dept.:
- Check the terms of the award for the specific reports needed to fulfill sponsor requirements, and follow up with OSP if there are any questions about closeout obligations.
- Request a no-cost extension at this time by completing the Extension Request Form on OSP's website. Once an extension is approved, the PI and departmental administrative contacts will receive no further communication from the Closeout Specialist until 60 days prior to the new award end date.
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30 days prior to end date of award:
OSP: If subrecipients on award, the OSP Subcontracts Coordinator sends notice of subcontract expiration to PI and departmental administrative contact.
GCA: Sends Notice of Expiration (NOE) letter or e-mail to the PI and departmental administrative contacts for all grants and contracts that will end within 30 days, to initiate budget review.
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Award end date:
PI/Dept:
- Reviews budget expenditures for allowability
- Ensures cost-share commitments are met
- Notifies subrecipients to ensure timely invoice is submitted to UW within 60 days after end date of award
- PI prepares technical report and submits to Sponsor, per Sponsor requirements, copy to OSP Closeouts Specialist
- PI prepares statement of invention
OSP:
- Sends a notification to the PI and departmental administrative contacts on the end date of the award, informing that the award has ended and detailing closeout responsibilities of the PI.
- Sends report to the UW Facility Security Officer (FSO), listing all grants and contract that have ended that are classified.
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Midpoint between award end date and sponsor deadline for award closure (typically 30-45 days after end date of award):
EIO:
- Reconciles equipment inventory records with departmental records.
- Submits property report to Sponsor, per Sponsor requirements.
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Sponsor Deadline for Award Closure (typically 90 days after end date of award):
PI/Dept:
OSP:
- Sends an e-mail notification to the PI, departmental administrative contacts listed on the eGC1 informing that the final closeout responsibilities have not been met and the PI is now delinquent. The email will also include a reminder of the policy that OSP will not process new proposals for PIs who are more than one (1) month delinquent on closeout responsibilities.
- Sends a list to the respective School/College Dean's office and Chair's point of contact advising of PIs that have not submitted required reports by the award closure date.
- OSP Subcontracts Coordinator liquidates subcontract amounts unspent, upon PI and department confirmation.
GCA:
- If budget ready, changes budget status from inactive (3) to closed (4).
- Submits the final financial status report to Sponsor, per Sponsor requirements.
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One (1) Month Delinquent Notification:
OSP:
- At one (1) month following the sponsor deadline for closeout documentation, if the PI has not submitted to OSP the technical report for which his/her input is required, OSP will no longer review and submit new proposals on behalf of that PI. This notice will come from the Vice Provost for Research to the PI, departmental administrative contacts, Chair and Dean. When final closeout reports are sent to the Sponsor by the PI, copy to the OSP Closeout Specialist, this restriction will be lifted.
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Extenuating Circumstances
At times there may be extenuating circumstances that prevent one or more of the final closeout reports from being completed in a timely manner. A request for an exception to this GIM must be made by the PI or Chair to the Executive Director of OSP.
