Investigator Separation J02

THIS PROCEDURE IS A DRAFT ONLY

When a Principal Investigator (PI) or key personnel intends to separate from the University, it is the PI's responsibility to work with his/her department to submit a request through the Office of Research and Sponsored Programs (ORSP) for the relinquishment of all active projects. As awarded grants are issued to Ohio University and not the PI, Ohio University has the responsibility to determine if the grant is retained or relinquished to the investigator's new institution.


This procedure applies to all sponsored projects subject to OU Policy 19.045 Administering External Grants and Contracts set up as separate accounts in the OHIO Financial Management System (FMS).


 
Separation Notification Provider Recipient Timeline
Written notification of intended separation date (relinquishment date) with name and contact (Grants Officer) of new institution, if applicable. PI/PD or planning unit ORSP Immediately
Confirmation of separation Chair/Dean ORSP  
Create service center ticket and distribute notification of separation (memo) ORSP All Parties Involved Immediately upon receipt of separation notification
Schedule out processing meeting to occur within 10 business days of receipt of separation notification ORSP All parties involved Immediately upon receipt of separation notification
Active Award Disposition Provider Recipient Timeline
Prepare list of active awards and determine eligibility for transfer under what conditions from sponsor's guidelines ORSP PI/PD and Grants Accounting 5 business day of separation notification
Estimated unobligated balance Grants Accounting PI/PD and planning unit 5 business day of separation notification
Disposition of the award (retention/relinquishment/termination) PI/PD Chair 5 business days from receipt of active award list
Pending Proposals Provider Recipient Timeline
List of pending proposals and determine if pending proposals can be transferred to new institution ORSP PI/PD 5 business days after separation notification
When applicable, notify investigator's new institution of proposal transfer ORSP New Institution 5 business days after separation notification
Follow sponsor guidelines for transfer ORSP PI/PD As Directed
Reports and Deliverables Provider Recipient Timeline
Submit technical and progress reports to the sponsor PI/PD Sponsor 30 days prior to separation date
Complete effort certification when applicable PI/PD Grants Accounting Prior to Departure
Submit all deliverables contractually obligated under the agreement PI/PD Sponsor As Directed
Provide written plan to complete projects per the respective grant agreements PI/PD ORSP/Sponsor 30 days prior to separation date
Personnel Actions (Human Resources) Provider Recipient Timeline
Provide names, position numbers and termination dates of other OHIO employees PI/PD Planning Unit  
Complete Human Resources exit requirements (link) PI/PD Planning Unit  
Complete research volunteer application (temporary 0% appointment), when applicable   Planning Unit  
Process PTO payout Human Resources Grants Accounting and Planning Unit  
Emeritus Status (Retirees Only), when applicable PI/PD Planning Unit  
Human Subjects Research Provider Recipient Timeline
Prepare list of active protocols PI/PD Research Compliance 5 business days after separation notification
Prepare transition plan for the management of human research subjects PI/PD Research Compliance  
Terminate protocol if work on the project is complete or not to be continued PI/PD Research Compliance  
Transition protocol to new OHIO investigator, if research (enrollment, follow-up, or analysis) is ongoing at OHIO PI/PD Research Compliance  
Establish collaboration agreement with investigator's new institution when the investigator intends to continue as a collaborator on an ongoing project at OHIO PI/PD Research Compliance  
Other required agreements: data use, tissue transfer, etc. PI/PD ORSP and Research Compliance  
Animal Research Provider Recipient Timeline
Prepare list of active animal protocols PI/PD Research Compliance 5 business days after separation notification
Prepare transition plan for the transfer or disposition of research animals PI/PD Lab Animal Facility  
Terminate protocol if work on the project is complete or not to be continued PI/PD Research Compliance  
Transition protocol to new OHIO researcher, if research is ongoing at OHIO PI/PD Research Compliance  
Internal Awards Provider Recipient Timeline
List of pending active internal awards Research Development PI/PD 5 business days after separation notification
Follow guidelines for disposition PI/PD Research Development As Directed
Funds Management Provider Recipient Timeline
Reconcile accounts and expenditures Planning Unit Grants Accounting  
Reconcile cost share obligations Planning Unit Grants Accounting  
Supplies and materials must be received and fully paid Planning Unit Grants Accounting Prior to the relinquishment date
Ensure revenue (final invoice) has been settled Grants Accounting Sponsor  
Complete final financial status report (FFSR) Grants Accounting Sponsor within 90 days of relinquishment date
Closeout project-task-award Grants Accounting Planning Unit  
Reassign fund ownership when required Planning Unit Grants Accounting  
Disposition of RI funds Planning Unit General Accounting  
Subawards on current awards Provider Recipient Timeline
Notify subawardee in writing that grants may/will be transferring ORSP Subawardee  
Prepare change orders to terminate OHIO subaward ORSP Sponsor  
Notify Investigator's new institution of transferring      
Deobligation and closeout of the subaward      
Laboratory/Facilities Provider Recipient Timeline
Complete Clearance Checklist for Lab Closure (link) PI/PD EH&S  
Close out active IBC and RAD protocols or applications PI/PD Research Compliance  
Ensure proper transfer or destruction of materials PI/PD Biosafety Office  
Equipment, Property, and Supplies Provider Recipient Timeline

Prepare Equipment Status Change Form (link)

PI/PD

ORSP

 
Determine eligibility to transfer equipment internally or externally ORSP Property Management  
Compare the list of items for transfer to the Capital Asset Ledger. Account for the absence of any capital items indicated as purchased with Grant funds, but not on the PI’s itemized list ORSP Grants Accounting  
Approve transfer of equipment purchased with institutional or donated funds Planning Unit Chair/Dean/VPR  
Determine depreciated value Property Management    
Determine fair market value Chair/Dean/VPR Planning Unit  
Negotiate transfer at fair market value      
Approve transaction Property Management Planning Unit  
Prepare property transfer and invoice Planning Unit Bursar  
Export Control Provider Recipient Timeline
Export Control Exit Certification (link) PI/PD AVPR  
Transfer active license to another OHIO investigator AVPR    
Terminate active license AVPR    
Transfer: apply for re-submission of license application under new institution registration AVPR    
Transfer of active technology control plans to another OHIO investigator AVPR    
Close technology control plan AVPR    
Research Computing Environment Provider Recipient Timeline
Remove project and personnel from the Secured Research Computing Environment (SRCE) when applicable. PI/PD OIT  
Technology Transfer (TTO) Provider Recipient Timeline
Complete an inventory of all Tangible Research Materials and OHIO Discoveries PI/PD ORSP and TTO  
Items obtained elsewhere: OHIO may need to terminate or transfer contractual responsibilities to new institution TTO    
Items developed solely at OHIO: Work with the TTO to execute MTA between OHIO and new institution TTO    
Ensure all OHIO discoveries and IP matters covered by a patent application or issued patent are resolved, including licensed technology TTO    
Ensure any co-inventions with other institutions are appropriately managed TTO    
Sign acknowledgement statement that departing PI has disclosed all Discoveries to OHIO Technology Transfer Office required under OHIO IP policy through their end-date. PI/PD TTO  
Other Contractual Obligations Provider Recipient Timeline
Terminate or transfer responsibilities for other contractual obligations to the new institution. (e.g. no cost collaborations, bailment agreements, data use agreements, non-disclosure agreements) ORSP    
Inform Sponsor of the change and inform ORSP of agreed upon plans PI/PD ORSP  
Notify Facility Security Officer (FSO), if OHIO holds an active security clearance for Departing PI ORSP FSO  

Disposition of the Award

Retention of Award (These items apply when the award stays at OHIO):

Obtain courtesy appointment (volunteer researcher agreement) if departing investigator is to remain on award as OHIO PI with Department Chair/Dean and VPR approval.

Department Chair will name a replacement OHIO PI if the award is remaining at OHIO and the Departing PI will not remain as OHIO PI.

If Departing investigator will continue to work as a subrecipient Co-PI, sponsor approval is required.

Obtain necessary subaward/transfer documentation for investigator at new Institution.

Newly assigned OHIO PI needs to coordinate with ORSP to initiate subaward process.

Departing PI coordinates with new institution to create required subaward proposal documents.

 

Relinquishment of Award (These items apply when the award transfers to the new institution):

Determine if award is eligible for transfer per the Sponsor's policies and/or terms and conditions.

Gain all approvals from both institutions, including Department Chair/Dean, Institute/Center Directors and ORSP

Obtain estimated unobligated balance from Grants Accounting

Prepare the necessary transfer documentation

Departing PI must coordinate with their new institution to prepare and submit any required proposal documents.

 

Termination of Award (These items apply when a transfer is not applicable):

Obtain estimated unobligated balance from Grants Accounting

The department is responsible for coordinating with Grants Accounting to ensure all outstanding revenue has been settled

After final balance determined, work with Grants Accounting to complete internal termination letter with departing PI and Department Chair/Director signature

ORSP will issue formal termination of project to the sponsor, per the award terms and conditions

Standard closeout procedures will be initiated after the award is terminated.


Training

Training is available through ORSP upon request. Submit request for training to ORSP@ohio.edu.


Forms and Templates

Equipment Transfer Forms


Roles and Responsibilities

OWNER: Principal Investigator

CONTRIBUTOR: ORSP, Grants Accounting, Department, CFAO

APPROVER: Department Chair, Dean


References