Closeout and Principal Investigator Transfer
Closeout Project
Our staff develops, prepares, and maintains the timely closeout of reports, financial documentation, and Schedules of Final Charges (SFCs) that accurately represent financial expenses to sponsors per University fiscal policy and sponsor guidelines. We ensure prompt reconciliations, justifications, cost-share information, program income and all other facets involved in the accurate reporting of a sponsored project.
The closeout is a critical piece in the life cycle of a grant. Preparation for closeout should begin three months prior to the expiration date of the grant to accurately forecast expenses and any adjusting financial entries. Closeouts generally require the submission of final reports to the sponsor within 90-120 days of the grant ending.
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Required Reports
The RPPR report is due within 90 days of the award end date for most federal grants. Reports range from a summary and list of publications to a complete, exhaustive compilation of the project results. The PI is responsible for submitting all technical reports in the correct form according to the award terms. 听
NIH requires submission of the final RPPR report via eCommons. The PI logs into eRA Commons and clicks the status tab at the top of the screen. 听The PI selects the 鈥淩equires Closeout鈥�. 听Once the PI has completed the final reporting electronically, he/she should route to OSP to provide the institutional approval of the final RPPR report.
The OSP is responsible for submitting the final Federal Financial Report to the sponsor within 90 days of the award鈥檚 expiration.听听
Any purchases at the end of the award period are red flags to an auditor.听
The Final FFR must indicate the exact unobligated funds balance and may not reflect unliquidated obligations. There must be no discrepancies between the final FFFR expenditure data and the total drawdown amount.
Principal Investigator Transfer (In and Out)
When a PI transfers to the University of Tennessee Health Science Center, we advise contacting the OSP for assistance with transferring existing awards from their previous institution. The coordinator responsible for the funding agency of the existing award will work with the PI and their previous institution to facilitate the transfer.
Contact Associate Vice Chancellor Brenda Murrell for additional information.
When a PI plans to leave an organization during the course of a grant, the PI鈥檚 original and new institutions may agree to transfer the award. In such cases, the sponsor must review the proposed transfer of award and, if they approve, will facilitate the transfer of any unobligated funds to the PI鈥檚 new institution.
Additionally, the PI鈥檚 original institution has the option to propose a replacement PI to the sponsor or may request that the grant be terminated. Before initiating any of these actions, DRA will obtain written instruction from the PI鈥檚 department head.
Coordinate with your previous institution if you are an investigator coming to UT Health Science Center with an active award. Your new department administrator can help on the transfer application that will need to be submitted to the sponsoring agency for the grant to be awarded to UTHSC. All required documentation must be routed via Cayuse database system for approval.
If you are a new investigator bringing equipment to UT Health Science Center, work with your old institution鈥檚 Sponsored Programs and with your new department administrator to get the incoming equipment properly recorded into our financial system.
Contact your Department Administrator to initiate a transfer. You will need to submit an official request letter with the associated equipment form for approval from the Department Chair, the Dean of the College, and the Senior Associate Vice Chancellor for Research. 听
Your Department Administrator can help ensure you meet the following requirements:
- Cost sharing requirements
- Equipment purchased: Provide a list of equipment purchased on the current award (cost, acquisition date, property tag number, and funding source) and obtain approval to authorize the transfer.
- Subrecipient: Inform the collaborator of the move; determine the status of the subrecipient鈥檚 part of the project.
- Material and Data transfer
- IRB and IACUC protocols: Closeout your open protocols and ensure they are satisfied at the new institution.
- Co-PI: Determine the role of the Co-PI and if a subrecipient agreement for him/her will be required.
UTHSC must submit a transfer request to the sponsoring agency. If approved, the sponsor will begin the process of closing out the award at UTHSC. Simultaneously, UTHSC will submit a proposal to the sponsor for the remaining funds. The duration of this process can vary from 2-3 months or more; initiate your request well in advance of the new expected start date.
When a PI transfers to another educational institution and wishes to transfer University or federally owned property, she/he must furnish a written request for approval to the department chairperson. The PI should fully justify the request and include a list of items to be transferred. All property, regardless of value or original cost must be approved prior to transfer out of UTHSC. 听A representative at the receiving institution鈥檚 business office must certify in writing that the institution is willing to accept responsibility for the property to be transferred. The department chairperson has the initial approval authority for the transfer of property. 听 Additional approvals must then be obtained from OSP and the CBO鈥檚 office. 听In addition, the external funding sponsor may need to authorize the University to transfer the property. 听
If an award has not yet been made to the university but the PI has received the intent to fund, the program office may handle the transfer 鈥渂ehind the scenes鈥� by manually processing the award transfer. The PI must obtain approval from the Chairperson, Dean of College, and Senior Associate Vice Chancellor for Research.
If the award is to stay with UTHSC, the Department Administrator in collaboration with the PI will propose a new PI for the award.听 A request must be submitting to the sponsor that includes the following:
- An official statement from the PI/Chairperson/Dean stating the reason/benefit of retaining the award and showing how the new PI selected is suitable to continue the project.
- The biographical sketch of the individual proposed as the new PI.
- Other sources of support for the new PI.
- Any budget or cost center changes resulting from the proposed change.
- If applicable, any change in level of effort (a reduction of 25% or more must be reported).
Early termination is the process required to end an award before the published expiration date. Approval from the Chairperson, Dean of the College, and the Associate Vice Chancellor is required. NIH awards require prior approval at least 90 days before the anticipated termination date of the award. 听
If a PI wishes to close a study rather than transfer responsibility to a new PI:
- All data and records should be retained per the university鈥檚 retention policy.
- The study should be closed in eIRB through a continuing review application.
Important: In the event of early termination, all required reports, such as financial, technical, and patents, must still be provided to the sponsor.