Reports
and Records
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Projects
are considered completed or "closed out" after the sponsor
receives and approves all reports as required by the terms
and conditions of the award, and notifies UR
of its acceptance and closure of the project. It is the
responsibility of the PI to be aware of when reports are
due and to submit programmatic reports by the required
dates. Closeout procedures may vary by sponsor. ORPA is
available to assist PI's in the closeout process.
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Reports
required at the close of a project are generally due within
90 days of the project end date. These include:
- a
final technical report - submitted by the PI
- final
invention report - submitted by the PI to ORPA for
submission to sponsor
- final
financial report - submitted by ORACS upon the certification
of expenditures by the PI
- final
property report - submitted by Property Accounting
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If
the technical report is still being sent via hard copy,
the
Department should send a copy of the transmittal letter
for final technical reports to ORPA. This will facilitate
post award audits, and minimize requests to the PI and
Department staff for evidence that reports were submitted.
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| Failure
to submit required reports by the sponsor's deadline
can result in the sponsor withholding continued
funding or final payment on an award, and/or suspension
and termination of any and all active awards.
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Close-out
Checklist |
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In
some cases, all of a sponsor's awards to UR are held pending
submission of reports. In other situations, a sponsor
may hold up funding to a PI in another department because
of an individual's failure to respond to repeated requests
for a technical report.
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In
1994, the University was in danger of losing its expanded
authorities privilege for NIH awards because of the number
of delinquent reports.
Project records, both scientific and administrative, need
to be retained for specified periods after close-out.
Normally, the retention period is three (3) years
after the termination date. Records are subject to audit
at any time during this period. |
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