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.
Questions
Questions regarding this procedure can be sent 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