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Office of Research and Sponsored Programs Administration

East Tennessee State University

Non-Financial Post-Award Management

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A.  Change in PD/PI

B.  PD/PI Transfer to another Institution

C.  No-Cost Extensions

D.  Closeout Reports

Final Technical Report PD/PI
Final Report of Inventions
Sub-Award Final Closeout


 
A.  Change in PD/PI

Contact:  , ORSPA

It is the policy of ETSU that any change in status or effort of the PD/PI or other Key Personnel is in compliance with the sponsor's guidelines and University policy. The PD/PI must meet the requirements in the ETSU PI/PD Eligibility policy. The PD/PI has the responsibility for initiating notification of any such change and all notifications should be routed to the ORSPA for review and transmission to the sponsor. In those cases where the PD/PI, due to the reasons for the change in status or effort, is unable to initiate such notification, the academic department has the responsibility to notify ORSPA.

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B.  PD/PI Transfer to another Institution

In cases where a PD/PI transfers to another institution, it is normally the decision of the Department Chair (in cases where the PD/PI is the Chair, the decision should be the Department's Dean) as to whether ETSU will seek sponsor approval to retain the award and name a new PD/PI or to seek sponsor approval to relinquish the award to the institution employing the transferring PD/PI.

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C.  No-Cost Extensions

Contact:  , ORSPA

Grants and sponsored agreements are awarded with the expectation that PD/PI will complete the sponsored project within a certain time frame. When that time frame cannot be met, the PD/PI may request a time extension at "no cost," meaning additional time will be provided to complete the project without additional funds. No-cost extension (NCE) requests are generally directed to the sponsor for approval. However, some sponsors permit the institution's business representative, or the authorized institutional official, to approve or deny requests following sponsor-defined guidelines.

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D.  Closeout Reports

Contact:  , ORSPA

Final Technical Report PD/PI

The Project's PD/PI is responsible or timely submission of the final technical reports. For federal grants, this is normally 90 calendar days from expiration date of award. Specific sponsor requirements for the technical reports are usually defined in the award package. When the report is completed, the PI may submit it directly to the sponsoring agency whether it's an electronic submission or paper. On occasion and only if requested a copy of the technical report may need to be sent to ORSPA to satisfy a delinquent notification.

Final Report of Inventions

Many sponsors require reports about inventions made during the conduct of research to ensure disclosure. Where invention reports are required, ORSPA will collect the information needed and coordinate with the PI to submit the report to the sponsor.

Sub-Award Final Closeout

Overview - An integral component of subaward monitoring is closeout of the sub-award. This is the point at which final determination is made as to whether the Sub-recipient has fulfilled all of its responsibilities. Closeout involves all aspects of the grantee's effort: scientific, fiscal, and administrative.

Initial responsibility for closeout of subawards resides with the PI/Grants Manager. The PI/Grants Manager should review the subaward to determine that all deliverables have been submitted and all invoices have been paid. The primary sources for this information are the Statement of Work (usually Attachment A of the sub-award) and the "Reports" clause of the subaward. Most subawards require that the Subrecipient submit the final invoice within 60 days of the end date. This allows for timely closeout of the subaward and is especially important as many subawards are scheduled to end on the same day as the prime award. However, the final invoice should not be paid until all subaward requirements have been met. The subaward requires Subrecipients to label their final invoices as "FINAL."

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