Notice of Expiration (NOE) Letter Procedure

PI/Staff Procedure

When you receive a Notice of Expiration (NOE) from Grant and Contract Accounting (GCA) please review the following:

  1. Does the budget have an extension and/or supplement?
    • If you are requesting an extension, submit your request to the Office of Sponsored Programs (OSP) prior to the budget expiration and allow adequate lead-time to meet sponsor deadlines.
    • Inform GCA that an extension is in process.
    • For more information on how to request an extension, see OSP instructions for the Concurrence Letter.
  2. Are all of the expenditures allowable?
    • Ensure that all charges for goods received and services performed within the grant/contract period are processed and reflected in the Financial Accounting System (OFIS screens 5,7,8,9 or MyFinancial desktop Transaction Summary Report). Goods and services ordered prior to--but not received before--the end date of the grant/contract are not allowable, unless specifically authorized by the sponsor
    • Move any unallowable charges/credits to an appropriate budget by transferring the expenditure using MyFinancial.desktop.
    • Negative Balances: Resolve all negative balances appearing in an expenditure category on current BSR
    • Trainee stipend codes 01-50, 01-90, and 08-02 are unallowable codes on research grants unless you have written approval from the sponsor. Unallowable costs must be moved to an appropriate budget
    • Patient care charges in object codes 03-27 and 03-32 are allowable if included in the award document or you have written approval from the sponsor.
       
  3. Move any unallowable salary charges/credits to an appropriate budget by submitting a Retroactive Salary Transfer (RST) on MyFinancial.desktop.
     
  4. Are there any un-posted charges and/or credits after the Final Action Date? (If so, please provide us with the following information at least two working days prior to the Final Action Date listed on the NOE):
    • Amount of charge/credit, including any applicable taxes and fees.
    • The object code.
    • A brief description of the charge.
       
  5. What is the status of open requisitions and outstanding encumbrances?
    • Follow up on all open requisitions to ensure timely receipt of goods and services and/or timely receipt of invoices from vendors.
    • Remove all outstanding encumbrances by either liquidating them or transferring them to the continuation budget (including $1 encumbrances) .
      • To liquidate outstanding encumbrances, email Payables Administration at saf@u.washington.edu.
      • To transfer an encumbrance to the continuation budget, email Purchasing at purentry@u.washington.edu.
      • For more information on who to contact regarding encumbrances please refer to the Encumbrance Code Matrix.
      • For Center of Disease Control (CDC) sponsored projects, encumbrances may not be carried forward to the continuation budget.
    • Ensure all field advances and petty cash encumbrances (BFA & BCA) are reconciled through the end of the budget period and all applicable expenditures are posted on the budget prior to closing.
       
  6. Restricted funds: review Notice of Grant Award (NGA) for any restrictions on special funds.
    • Determine how much was expended during current year for each restricted item, and provide the information to your GCA Team.
       
  7. Are the indirect costs accurate?
    • Notify GCA if you need adjustments.
  8. Has the cost share pledge been met?
  9. Is your budget a Training Grant?
    • Trainee stipends
      • Should be coded 01-50 for post-doctoral trainees and 01-90 or 08-02 for pre-doctoral trainees.
      • Must equal stipend amounts listed on Statement of Appointment forms (SOA) and correspond with National Institutes of Health approved stipend levels. Any under-/overpayments must be corrected by the department.
         
    • For each trainee paid on the grant, department must provides completed copies of SOA forms to GCA

      *Note: This is a good time to review your files and make sure that all Faculty Effort Certification forms are signed and returned to Management Accounting and Analysis, and all Grant and Contract Certification Reports are signed and retained in your departmental file.
       

Contacts:
Please notify GCA via GrantTracker that the budget is ready for closing.
 

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