{ "document_id": 15539, "filename": "Sponsored_Project_Closeout.pdf", "engine": "paddleocr_vl", "source_run_id": 15650, "generated_at": "2026-11-04T10:45:02+00:00", "page_count": 3, "counts_by_type": { "figure": 2, "header": 1, "heading": 22, "link": 1, "list": 4, "list_item": 15, "table": 2, "table_cell": 11, "text": 15, "title": 1 }, "timings": { "total_ms": 504, "structure_ms": 290, "text_layer_ms": 15, "build_ms": 6 }, "pages": [ { "document_id": 15539, "page": 1, "width": 612, "height": 792, "rotation": 0, "pipeline_version": "paddleocr-vl-1.6+paul-48", "width_pt": 612, "height_pt": 792, "engine": "paddleocr_vl", "source_run_id": 15650, "item_count": 21, "counts_by_type": { "figure": 2, "header": 1, "heading": 10, "text": 7, "title": 1 }, "build_ms": 1, "items": [ { "id": "p1.1", "order": 1, "type": "figure", "bbox": { "l": 256.8, "t": 758.16, "r": 354.24, "b": 687.6 }, "text": "", "attrs": { "role": "page_header", "block_label": "header_image" }, "reading_order": 0 }, { "id": "p1.2", "order": 2, "type": "header", "bbox": { "l": 229.68, "t": 679.92, "r": 381.36, "b": 650.4 }, "text": "KENTUCKY STATE UNIVERSITY", "attrs": { "block_label": "header" }, "level": 2, "reading_order": 1 }, { "id": "p1.3", "order": 3, "type": "figure", "bbox": { "l": 232, "t": 756, "r": 379.5561, "b": 621.4 }, "text": "", "attrs": { "source": "pdf_image" }, "reading_order": 2 }, { "id": "p1.4", "order": 4, "type": "title", "bbox": { "l": 241.92, "t": 644.4, "r": 369.6, "b": 631.2 }, "text": "Policies and Regulations", "attrs": { "block_label": "doc_title" }, "level": 2, "reading_order": 3 }, { "id": "p1.5", "order": 5, "type": "heading", "bbox": { "l": 34.32, "t": 606, "r": 147.36, "b": 591.6 }, "text": "PROCEDURE TITLE:", "level": 3, "reading_order": 4 }, { "id": "p1.6", "order": 6, "type": "text", "bbox": { "l": 34.08, "t": 588.48, "r": 198, "b": 572.88 }, "text": "Sponsored Project Closeout", "reading_order": 5 }, { "id": "p1.7", "order": 7, "type": "heading", "bbox": { "l": 33.84, "t": 554.4, "r": 106.32, "b": 540.24 }, "text": "APPLIES TO:", "level": 3, "reading_order": 6 }, { "id": "p1.8", "order": 8, "type": "text", "bbox": { "l": 33.84, "t": 537.6, "r": 577.92, "b": 504.72 }, "text": "All principal investigators, departmental staff, and administrative units involved in managing externally sponsored projects", "reading_order": 7 }, { "id": "p1.9", "order": 9, "type": "heading", "bbox": { "l": 34.08, "t": 486.96, "r": 215.76, "b": 472.08 }, "text": "ADMINISTRATIVE AUTHORITY:", "level": 3, "reading_order": 8 }, { "id": "p1.10", "order": 10, "type": "text", "bbox": { "l": 34.08, "t": 469.44, "r": 253.68, "b": 454.08 }, "text": "Office of Research & Innovation (ORI)", "reading_order": 9 }, { "id": "p1.11", "order": 11, "type": "text", "bbox": { "l": 34.08, "t": 451.92, "r": 149.28, "b": 436.8 }, "text": "Sponsored Projects", "reading_order": 10 }, { "id": "p1.12", "order": 12, "type": "text", "bbox": { "l": 33.36, "t": 434.64, "r": 444.72, "b": 402 }, "text": "Office of the Provost and Vice President of Academic & Student Affairs Division of Finance & Administration", "reading_order": 11 }, { "id": "p1.13", "order": 13, "type": "heading", "bbox": { "l": 33.84, "t": 384, "r": 123.84, "b": 369.6 }, "text": "APPROVED BY:", "level": 3, "reading_order": 12 }, { "id": "p1.14", "order": 14, "type": "heading", "bbox": { "l": 33.6, "t": 349.44, "r": 133.68, "b": 334.56 }, "text": "EFFECTIVE DATE:", "level": 3, "reading_order": 13 }, { "id": "p1.15", "order": 15, "type": "heading", "bbox": { "l": 33.84, "t": 315.6, "r": 153.6, "b": 301.2 }, "text": "NEXT REVIEW DATE:", "level": 3, "reading_order": 14 }, { "id": "p1.16", "order": 16, "type": "heading", "bbox": { "l": 33.84, "t": 266.4, "r": 184.08, "b": 252 }, "text": "PROCEDURE STATEMENT:", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 15 }, { "id": "p1.17", "order": 17, "type": "text", "bbox": { "l": 33.6, "t": 234, "r": 578.64, "b": 170.64 }, "text": "The timely and accurate closeout of sponsored projects is a critical institutional responsibility. This procedure establishes the required actions and shared responsibilities for finalizing all financial, technical, and administrative aspects of a sponsored award. Adherence to this procedure is mandatory to ensure compliance with sponsor requirements, federal regulations, and sound financial stewardship.", "reading_order": 16 }, { "id": "p1.18", "order": 18, "type": "heading", "bbox": { "l": 34.08, "t": 152.88, "r": 115.92, "b": 138.48 }, "text": "DEFINITIONS:", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 17 }, { "id": "p1.19", "order": 19, "type": "heading", "bbox": { "l": 33.84, "t": 119.76, "r": 116.88, "b": 106.8 }, "text": "Award Closeout", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 18 }, { "id": "p1.20", "order": 20, "type": "text", "bbox": { "l": 34.08, "t": 104.16, "r": 578.16, "b": 72.96 }, "text": "The process of completing all required reports, reconciling all financial transactions, and fulfilling all administrative obligations with a sponsored project after its period of performance has ended.", "reading_order": 19 }, { "id": "p1.21", "order": 21, "type": "heading", "bbox": { "l": 34.08, "t": 55.2, "r": 149.52, "b": 42.48 }, "text": "Period of Performance", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 20 } ] }, { "document_id": 15539, "page": 2, "width": 612, "height": 792, "rotation": 0, "pipeline_version": "paddleocr-vl-1.6+paul-48", "width_pt": 612, "height_pt": 792, "engine": "paddleocr_vl", "source_run_id": 15650, "item_count": 24, "counts_by_type": { "heading": 7, "list": 2, "list_item": 8, "text": 7 }, "build_ms": 2, "items": [ { "id": "p2.1", "order": 1, "type": "text", "bbox": { "l": 33.6, "t": 754.56, "r": 574.08, "b": 740.64 }, "text": "The time during which the PI may incur obligations to carry out the work authorized under a sponsored award.", "reading_order": 0 }, { "id": "p2.2", "order": 2, "type": "heading", "bbox": { "l": 34.08, "t": 722.4, "r": 162.48, "b": 708.96 }, "text": "Principal Investigator (PI)", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 1 }, { "id": "p2.3", "order": 3, "type": "text", "bbox": { "l": 33.6, "t": 706.32, "r": 562.8, "b": 692.16 }, "text": "The individual with primary responsibility for the overall management and success of the sponsored project.", "reading_order": 2 }, { "id": "p2.4", "order": 4, "type": "heading", "bbox": { "l": 34.08, "t": 673.92, "r": 129.12, "b": 661.2 }, "text": "Sponsored Project", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 3 }, { "id": "p2.5", "order": 5, "type": "text", "bbox": { "l": 33.6, "t": 657.84, "r": 577.68, "b": 627.6 }, "text": "A research, training, public service, or other activity that receives funding from an external source through a grant, contract, or cooperative agreement.", "reading_order": 4 }, { "id": "p2.6", "order": 6, "type": "heading", "bbox": { "l": 34.08, "t": 609.12, "r": 92.88, "b": 595.44 }, "text": "PROCESS:", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 5 }, { "id": "p2.7", "order": 7, "type": "text", "bbox": { "l": 33.84, "t": 577.92, "r": 578.16, "b": 550.08 }, "text": "The closeout of a sponsored project is a collaborative effort. The timeline below outlines the key deadlines and actions required.", "reading_order": 6 }, { "id": "p2.8", "order": 8, "type": "heading", "bbox": { "l": 33.6, "t": 533.76, "r": 214.8, "b": 520.8 }, "text": "1. 90 Days Prior to Project End Date", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 7 }, { "id": "p2.9", "order": 9, "type": "text", "bbox": { "l": 33.84, "t": 519.36, "r": 577.68, "b": 490.8 }, "text": "The Office of Research & Innovation (ORI) will send an official notification to the PI and the relevant departmental administrator, reminding them of the upcoming project end date and initiating the closeout process.", "reading_order": 8 }, { "id": "p2.10", "order": 10, "type": "heading", "bbox": { "l": 33.6, "t": 475.2, "r": 219.84, "b": 462.48 }, "text": "2. 30–60 Days After Project End Date", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 9 }, { "id": "p2.11", "order": 11, "type": "text", "bbox": { "l": 33.6, "t": 460.56, "r": 577.92, "b": 446.88 }, "text": "The PI and their departmental administrator must complete all final project-related financial activities, including:", "reading_order": 10 }, { "id": "p2.12", "order": 12, "type": "list", "bbox": { "l": 33.6, "t": 432.78, "r": 452.4, "b": 327.12 }, "text": "", "attrs": { "item_count": 4 }, "children": [ { "id": "p2.12.1", "order": 13, "type": "list_item", "bbox": { "l": 33.6, "t": 432.78, "r": 443.04, "b": 417.12 }, "text": "Ensuring all project costs have been incurred and posted to the project account.", "marker": "-", "reading_order": 0 }, { "id": "p2.12.2", "order": 14, "type": "list_item", "bbox": { "l": 33.6, "t": 402.9, "r": 428.64, "b": 387.6 }, "text": "Reconciling all expenditures and resolving any errors or unallowable charges.", "reading_order": 1 }, { "id": "p2.12.3", "order": 15, "type": "list_item", "bbox": { "l": 33.6, "t": 372.9, "r": 452.4, "b": 357.6 }, "text": "Certifying that all cost-sharing commitments have been fulfilled and documented.", "marker": "•", "reading_order": 2 }, { "id": "p2.12.4", "order": 16, "type": "list_item", "bbox": { "l": 33.6, "t": 343.02, "r": 311.76, "b": 327.12 }, "text": "Finalizing all payments to subrecipients and vendors.", "marker": "•", "reading_order": 3 } ], "reading_order": 11 }, { "id": "p2.13", "order": 17, "type": "heading", "bbox": { "l": 33.84, "t": 311.52, "r": 324.48, "b": 298.8 }, "text": "3. Submission of Final Reports (within Sponsor Deadlines)", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 12 }, { "id": "p2.14", "order": 18, "type": "list", "bbox": { "l": 33.6, "t": 296.88, "r": 578.4, "b": 134.88 }, "text": "", "attrs": { "item_count": 4 }, "children": [ { "id": "p2.14.1", "order": 19, "type": "list_item", "bbox": { "l": 33.6, "t": 296.88, "r": 577.68, "b": 268.8 }, "text": "All final reports must be submitted by the deadlines specified in the award agreement, which are typically 90 to 120 days after the project end date.", "reading_order": 0 }, { "id": "p2.14.2", "order": 20, "type": "list_item", "bbox": { "l": 34.08, "t": 254.46000000000004, "r": 577.92, "b": 223.92 }, "text": "Final Technical/Performance Reports: The PI is responsible for preparing and submitting these reports directly to the sponsor, with a copy provided to ORI.", "marker": "•", "reading_order": 1 }, { "id": "p2.14.3", "order": 21, "type": "list_item", "bbox": { "l": 34.08, "t": 209.94000000000005, "r": 578.4, "b": 179.28 }, "text": "Final Financial Report (FFR): The Division of Finance & Administration, in collaboration with ORI, is responsible for preparing and submitting the official FFR to the sponsor.", "marker": "•", "reading_order": 2 }, { "id": "p2.14.4", "order": 22, "type": "list_item", "bbox": { "l": 34.08, "t": 165.29999999999995, "r": 577.68, "b": 134.88 }, "text": "Invention and Property Reports: The PI, with assistance from ORI, is responsible for submitting any required final reports on inventions or property acquired with project funds.", "reading_order": 3 } ], "reading_order": 13 }, { "id": "p2.15", "order": 23, "type": "heading", "bbox": { "l": 33.6, "t": 119.28, "r": 148.8, "b": 106.56 }, "text": "4. Final Award Closure", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 14 }, { "id": "p2.16", "order": 24, "type": "text", "bbox": { "l": 33.36, "t": 105.12, "r": 577.92, "b": 61.44 }, "text": "Once all reports have been submitted and all financial transactions are complete, the Division of Finance & Administration and ORI will formally close the award in KSU's systems and archive all records in accordance with the institutional record retention policy.", "reading_order": 15 } ] }, { "document_id": 15539, "page": 3, "width": 612, "height": 792, "rotation": 0, "pipeline_version": "paddleocr-vl-1.6+paul-48", "width_pt": 612, "height_pt": 792, "engine": "paddleocr_vl", "source_run_id": 15650, "item_count": 29, "counts_by_type": { "heading": 5, "link": 1, "list": 2, "list_item": 7, "table": 2, "table_cell": 11, "text": 1 }, "build_ms": 3, "items": [ { "id": "p3.1", "order": 1, "type": "heading", "bbox": { "l": 34.32, "t": 754.8, "r": 115.68, "b": 741.12 }, "text": "Responsibilities", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 0 }, { "id": "p3.2", "order": 2, "type": "list", "bbox": { "l": 34.08, "t": 726.78, "r": 578.4, "b": 518.64 }, "text": "", "attrs": { "item_count": 4 }, "children": [ { "id": "p3.2.1", "order": 3, "type": "list_item", "bbox": { "l": 34.32, "t": 726.78, "r": 578.4, "b": 680.88 }, "text": "Principal Investigator (PI): Responsible for completing the scientific scope of work, submitting all required technical reports, ensuring all expenditures are appropriate and timely, and assisting with the resolution of any outstanding financial or administrative issues.", "reading_order": 0 }, { "id": "p3.2.2", "order": 4, "type": "list_item", "bbox": { "l": 34.08, "t": 667.5, "r": 578.16, "b": 622.56 }, "text": "Department/College: Responsible for assisting the PI with the final reconciliation of all project expenditures, ensuring all cost-sharing commitments are met and documented, and managing the closeout of any subawards.", "reading_order": 1 }, { "id": "p3.2.3", "order": 5, "type": "list_item", "bbox": { "l": 34.08, "t": 608.34, "r": 577.68, "b": 562.8 }, "text": "Office of Research & Innovation (ORI): Responsible for initiating the closeout process, providing guidance on sponsor requirements, reviewing and submitting required administrative reports (other than financial), and coordinating with the PI and Finance to ensure a timely closeout.", "reading_order": 2 }, { "id": "p3.2.4", "order": 6, "type": "list_item", "bbox": { "l": 34.32, "t": 549.06, "r": 577.92, "b": 518.64 }, "text": "Division of Finance & Administration: Responsible for preparing and submitting the final financial report to the sponsor, processing final payments, and officially closing the award account in KSU's financial system.", "marker": "-", "reading_order": 3 } ], "reading_order": 1 }, { "id": "p3.3", "order": 7, "type": "heading", "bbox": { "l": 34.08, "t": 503.04, "r": 102.24, "b": 489.84 }, "text": "Enforcement", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 2 }, { "id": "p3.4", "order": 8, "type": "text", "bbox": { "l": 33.36, "t": 487.92, "r": 578.4, "b": 429.84 }, "text": "Failure to complete closeout activities in a timely manner can have serious consequences, including the sponsor's refusal to pay final invoices, disallowed costs that must be covered by the department, and damage to KSU's reputation, potentially jeopardizing future funding. Persistent non-compliance by a PI may result in restrictions on their ability to submit future proposals.", "reading_order": 3 }, { "id": "p3.5", "order": 9, "type": "heading", "bbox": { "l": 33.6, "t": 414.48, "r": 265.92, "b": 400.08 }, "text": "REFERENCES AND RELATED MATERIALS:", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 4 }, { "id": "p3.6", "order": 10, "type": "list", "bbox": { "l": 54, "t": 385.152, "r": 310.6164, "b": 338.496 }, "text": "", "attrs": { "item_count": 3 }, "children": [ { "id": "p3.6.1", "order": 11, "type": "list_item", "bbox": { "l": 54, "t": 385.152, "r": 285.9312, "b": 369.096 }, "text": "Uniform Guidance, 2 CFR § 200.344, “Closeout”", "reading_order": 0 }, { "id": "p3.6.2", "order": 12, "type": "list_item", "bbox": { "l": 54, "t": 369.792, "r": 191.316, "b": 353.736 }, "text": "KSU Record Retention Policy", "reading_order": 1 }, { "id": "p3.6.3", "order": 13, "type": "list_item", "bbox": { "l": 54, "t": 354.552, "r": 310.6164, "b": 338.496 }, "text": "KSU Principal Investigator Responsibilities Regulation", "reading_order": 2 } ], "reading_order": 5 }, { "id": "p3.7", "order": 14, "type": "heading", "bbox": { "l": 34.8, "t": 322.32, "r": 102.24, "b": 308.64 }, "text": "CONTACTS:", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 6 }, { "id": "p3.8", "order": 15, "type": "table", "bbox": { "l": 34.8, "t": 293.28, "r": 576, "b": 261.12 }, "text": "", "attrs": { "block_label": "table", "n_rows": 2, "n_cols": 4, "integrity": { "cells_checked": 8, "cells_flagged": 1, "flags": [ { "row": 0, "col": 1, "coverage": 0, "text": "Office" } ] } }, "children": [ { "id": "p3.8.1", "order": 16, "type": "table_cell", "bbox": { "l": 41.64, "t": 292.992, "r": 77.82, "b": 276.93600000000004 }, "text": "Subject", "attrs": { "row": 0, "col": 0, "rowspan": 1, "colspan": 1, "bbox_refit": true, "column_header": true, "header_source": "pdf" }, "reading_order": 0 }, { "id": "p3.8.2", "order": 17, "type": 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1, "col": 0, "rowspan": 1, "colspan": 1, "bbox_refit": true }, "reading_order": 4 }, { "id": "p3.8.6", "order": 21, "type": "table_cell", "bbox": { "l": 144.24, "t": 277.75199999999995, "r": 244.932, "b": 261.696 }, "text": "Sponsored Programs", "attrs": { "row": 1, "col": 1, "rowspan": 1, "colspan": 1, "bbox_refit": true }, "reading_order": 5 }, { "id": "p3.8.7", "order": 22, "type": "table_cell", "bbox": { "l": 330.24, "t": 277.75199999999995, "r": 404.844, "b": 261.696 }, "text": "(502) 597-5837", "attrs": { "row": 1, "col": 2, "rowspan": 1, "colspan": 1, "bbox_refit": true }, "reading_order": 6 }, { "id": "p3.8.8", "order": 23, "type": "table_cell", "bbox": { "l": 441.6, "t": 277.75199999999995, "r": 564.7788, "b": 261.696 }, "text": "Dorothy.Daley@kysu.edu", "attrs": { "row": 1, "col": 3, "rowspan": 1, "colspan": 1, "bbox_refit": true }, "children": [ { "id": "p3.8.8.1", "order": 24, "type": "link", "bbox": { "l": 439.35, "t": 276.896, "r": 566.973, "b": 262.248 }, "text": "Dorothy.Daley@kysu.edu", "attrs": { "uri": "mailto:Dorothy.Daley@kysu.edu", "action_type": "/URI", "row": 1, "col": 3, "rowspan": 1, "colspan": 1 }, "reading_order": 0 } ], "reading_order": 7 } ], "reading_order": 7 }, { "id": "p3.9", "order": 25, "type": "heading", "bbox": { "l": 34.8, "t": 245.04, "r": 90, "b": 230.88 }, "text": "HISTORY:", "attrs": { "block_label": "paragraph_title" }, "level": 3, "reading_order": 8 }, { "id": "p3.10", "order": 26, "type": "table", "bbox": { "l": 36.96, "t": 215.832, "r": 575.76, "b": 183.12 }, "text": "", "attrs": { "block_label": "table", "n_rows": 1, "n_cols": 3, "integrity": { "cells_checked": 3, "cells_flagged": 0 } }, "children": [ { "id": "p3.10.1", "order": 27, "type": "table_cell", "bbox": { "l": 41.64, "t": 215.832, "r": 159.6348, "b": 184.53599999999994 }, "text": "Revision Type\nIssued (New Regulation)", "attrs": { "row": 0, "col": 0, "rowspan": 1, "colspan": 1, "bbox_refit": true, "merged_continuation": true, "column_header": true, "header_source": "pdf" }, "reading_order": 0 }, { "id": "p3.10.2", "order": 28, "type": "table_cell", "bbox": { "l": 261.84, "t": 215.832, "r": 387.0612, "b": 184.53599999999994 }, "text": "Date of Issuance/Revision\nJune 2025", "attrs": { "row": 0, "col": 1, "rowspan": 1, "colspan": 1, "bbox_refit": true, "merged_continuation": true, "column_header": true, "header_source": "pdf" }, "reading_order": 1 }, { "id": "p3.10.3", "order": 29, "type": "table_cell", "bbox": { "l": 414.84, "t": 215.832, "r": 564.1092, "b": 184.53599999999994 }, "text": "Drafter(s)/Editor(s)\nDorothy Daley and Zach Atwell", "attrs": { "row": 0, "col": 2, "rowspan": 1, "colspan": 1, "bbox_refit": true, "merged_continuation": true, "column_header": true, "header_source": "pdf" }, "reading_order": 2 } ], "reading_order": 9 } ] } ] }