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ONR: The Closeout Process. Presented By: C.C. Everley ONR Seattle Regional Office April 2008 DISTRIBUTION STATEMENT C: Approved distribution authorized to U.S. Government agencies and their contractors; Administrative Or Operational Use 28 APR 2008. ONR’s Regional Offices.

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onr the closeout process

ONR: The Closeout Process

Presented By: C.C. Everley

ONR Seattle Regional Office

April 2008

DISTRIBUTION STATEMENT C: Approved distribution authorized to U.S. Government agencies and their contractors; Administrative Or Operational Use 28 APR 2008

onr s regional offices
ONR’s Regional Offices

SEATTLE ATLANTA

CHICAGO SAN DIEGO

BOSTON

slide3
The information to be presented can be found at www.onr.navy.mil

Title: ONR UBA: Closeout of Contracts and Grants

onr the closeout process4
ONR: The Closeout Process
  • General overview of the closeout process, policies and procedures
  • Details about deliverables and other actions unique to the closeout process
  • Forms, instructions and web-based guidance and links
what is closeout it is a layered process
What is closeout? It is a layered process
  • The process of documenting and assuring the fulfillment of the terms and conditions of the award
  • Of certifying awardees compliance with applicable regulations and terms and conditions.
  • Making final disposition of all award by-products, such as final vouchers, reports, patent disclosures and property.
why is closeout important
Why is Closeout important?
  • Government acceptance of the final deliverables and reports is critical to the overall success of the project. In many instances, this act of final acceptance can cause the release of final payments to the awardee, and ultimately lead to release of the awardee from lingering obligations under the award.
slide7
“ Contract closeout is the most unheralded phase of the procurement process, yet, when performed efficiently and effectively, it can protect the government’s interests and free up significant dollars for current-year program priorities.”

From ESI Int’l Contracting Programs Catalog 2005-2006

slide8
Contracts

FAR 4.804-5

Certification of final costs

Small Business requirements

Assistance Awards

DoDGARS

http://www.dtic.mil/whs/directives/corres/html/32106r.htm

NASA Grant Handbook

Differences

slide9

PURPOSE OF CLOSEOUT IS TO ENSURE THAT……

1. Awardee has complied with the terms and conditions

set forth in the award, including timely submission of

the deliverables

2. Disposition of classified information is completed

3. Final patent and technical reports are accepted by the

agency

4. Plant and property clearance received and all property

is fully dispositioned

purpose is to ensure that
PURPOSE IS TO ENSURE THAT……

5. Final costs have been reviewed and accepted, any disallowed

costs are settled including:

>Subcontract settlement/closeouts

>Open year indirect cost rates

>Submission of final invoice

>De-obligation of funds completed (for which

we have delegation) or recommended to

the buying agency

6. Small Business requirements have been fulfilled

types of delegations
Types of Delegations
  • ONR services all of DoD, as well as non DoD customers (NIH, NASA, DOI, etc.)
    • Functions performed depend on the delegation we receive from the buying command
    • Some delegations we have:

Full delegation (Most DoD)

Property and Closeout (Most NASA)

Voucher only

Property only (NIH)

award specific terms conditions
Award-Specific Terms & Conditions
  • EACH AWARD IS DIFFERENT

A thorough knowledge of specific terms and conditions, especially relating to final deliverable requirements is a prerequisite for a complete understanding of the closeout process

slide13
Contracts
    • FAR 52 provisions provide detailed procedures for contract closeout
    • DFARS, NMCARS
  • Grants & Cooperative Agreements
    • DoD Grant and Agreement Regulations (DoDGARs) provides procedures for assistance instruments
    • Also, OMB Circular A-110 Subpart D “After-the Award-Requirements” provides additional guidance
  • NASA Awards
    • NASA Grant Handbook provides assistance for NASA awards
  • Other agencies (i.e. Army/Air Force) have their own terms and conditions
role of the onr aco ago administrative grants contracting officer
Role of the ONR ACO/AGO(Administrative Grants/Contracting Officer)
  • With the help of other staff members:
    • Solicit the awardee for the required deliverables, including providing any forms, guidance or other counsel relative to the closeout process
    • Ensure that the submittals meet the administrative requirements of the terms and conditions of the award
      • Distribution was correct, in the correct format etc.
ago aco role continued
AGO/ACO Role Continued..
  • Contact and follow up with issuing agency/procurement offices following submittal to gain acceptance or facilitate necessary changes to the deliverables
  • Conduct formal administrative closeout of the award, including completion of relevant forms, certifications and releases, review and acceptance of final cost reports and certification of final vouchers
when does onr start the process
When does ONR start the Process?
  • Once the award is physically complete, e.g., the period of performance has expired, the “clock begins ticking” for submission by the awardee of final deliverables required for the award
  • Often the awardee is notified via e-mail that the award has expired and is reminded of the deliverables required and due date
awardees responsibilities
Awardees Responsibilities
  • Make sure that all reports are sent to the correct people/agencies
    • Generally, awards will include instructions relative to the distribution of each deliverable including number of copies and mailing addresses
helpful tool
Helpful Tool….
  • AdminWeb

Database for awardees to submit reports

Can be found at:

http://www.onr.navy.mil/

Can be found at:

http://www.onr.navy.mil/

typical deliverables and due dates
Typical Deliverables and Due Dates

In General :

Final Technical Reporting 90 days after expiration

Final Patent Reporting 90 days after expiration

Final Cost Reporting 90 days after expiration

Final Property Reporting 90 days after expiration

Final Security Reporting 90 days after expiration

Final Small Business Reporting 30 days after expiration

helpful tool20
Helpful Tool….
  • All required documents can be found on the ONR website:

http://www.onr.navy.mil/

final technical report
Final Technical Report
  • Usually due by 90 days after award expiration-check award terms and conditions for clarification and required distribution
  • Format: contractor/recipient can use any format acceptable to the awarding agency. They should contact the Program Manager if questions arise.
  • Include form SF 298 “Report Documentation Page”
  • Acceptance is provided by awarding agency
technical performance dd 250 for some contracts
Technical PerformanceDD 250 (For some contracts)
  • DD 250 : Material Inspection and Receiving Report
  • Instructions will be noted in Section E and/or in the CDRL (Contract’s Data Requirements Listing) in the contract.
  • Acceptance is provided by awarding agency
final patent report
Final Patent Report
  • Form DD 882

Acceptance is provided by awarding agency

*Patent reports are usually required even if they are negative

final cost reporting
Assistance Awards

DoD: Form SF 269

NASA: Form SF 272

Contracts

Voucher Form:

SF1034/SF 1035

Also need to submit: Contractor’s Release and Assignment forms

Final Cost Reporting
final property reporting
Final Property Reporting
  • The final property reports are generally concerned with where title to property vests- i.e. with the Government or the recipient.
  • Forms Used:
    • DoD : DD 1662 (soon to be obsolete)
    • NASA: Contracts : NASA form 1018

Grants : Letter with signature (e-mail in some instances) will suffice for negative reports or for instances where title vests with the recipient.

aco role in final property reporting
ACO Role in Final Property Reporting
  • Vesting of Title Determination
  • Coordinate Disposition of Property with Plant Clearance Officer
  • Reporting of the Property Closeout Process to interested parties
final security closeout
Final Security Closeout
  • * Government obtains awardee certification
what is acceptance of a final report
Whatis “Acceptance” of a Final Report?
  • Definition of acceptance: FAR 46.101
  • Acceptance can take many different forms and is driven by the type of award and the individual terms and conditions.
  • Common forms of acceptance:
    • Government correspondence indicating or certifying acceptable final deliverables or performance
    • DD 250-Material and Acceptance Report (most often used in cost-type or fixed fee contracts)
    • Electronic communication from Program Managers
administrative contracting officer duties in accepting final costs
Administrative Contracting OfficerDuties in Accepting Final Costs

The ONR ACO/AGO will conduct a final financial review of the costs incurred under a given award, to ensure that all costs are reasonable, allocable, and allowable. This review may take the form of :

  • Primary reliance on the OMB Circular A-133 financial audit which characterizes the overall abilities of the awardee’s management control and incurred cost systems. The audits are generally performed by an independent auditor and reviewed by the cognizant audit agency.
additional forms of cost acceptance when needed
Additional Forms of Cost Acceptance When Needed
  • A desk review, where cost elements originally budgeted in the proposal are compared and contrasted with those costs actually incurred
  • A full audit of the individual award, as conducted by the cognizant federal agency for audit of the awardee’s institution, either Department of Health and Human Services or Defense Contract Audit Agency. These are generally reserved for high-dollar awards.
cost acceptance non acceptance
Cost Acceptance/Non-Acceptance
  • During the financial review process, the ACO/AGO may disallow or accept final costs, and will execute the final completion voucher releasing any residual payments still due
  • He or she will also execute several forms internal to the government, including a final contract/grant completion statement summarizing the acceptance of final deliverables. The forms will be sent to the awarding agency for final actions that are needed
  • Award will be administratively closed for all functions that were delegated
quick closeout for contracts only
Quick Closeout(For Contracts Only)
  • Reference: FAR 42.708
  • Only applies to finalization of provisional indirect rates on cost contracts (not necessary when rates are already fixed or predetermined)
  • Usually more applicable to major cost type subcontracts awarded to for-profit entities under non-profit/university prime contracts
quick closeout for contracts only33
Quick Closeout(For Contracts Only)
  • Maximum indirect cost allocation to one contract using QC is $1 million & total indirect cost  allocations per FY to all contracts using QC cannot exceed 15% of total indirect costs allocated to all cost contracts
  • Contact ONR ACO for guidance/coordination for either potential prime or subcontract application.
impact of prioritizing closeouts
Impact of Prioritizing Closeouts
  • Reduced backlog of expired awards by 45%
  • Reduced age of “old dogs” by 50%
  • Achieved active/expired ratio of 75% / 25%
  • Currently operating in maintenance mode
slide35

Collaborative Workspace

Firewall

Collaborative

Workspace

what s in the future
What’s in The Future…
  • Public Law 106-107
    • Grants Streamlining
    • Electronic Reporting Systems Across Agencies
my contact information
My Contact Information

C.C. Everley

everlec@onr.navy.mil

(206) 548-7239