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Award Transfers Office of Research Services ORS Brown Bag November 20, 2006
Overview <ul><li>Transferring the legal and administrative responsibility for a grant-supported or activity from one legal...
Sponsor Expectations <ul><ul><li>Notification of desire to relinquish/transfer will be timely  </li></ul></ul><ul><ul><li>...
The Award Transfer Process <ul><li>Notification/Documentation </li></ul><ul><li>Completion of required forms </li></ul><ul...
Project Transfers to New Institution <ul><li>Federal Sponsors </li></ul><ul><ul><ul><li>PI must communicate with Program O...
Project Transfers to New Institution <ul><li>Non-Federal Sponsors </li></ul><ul><ul><ul><li>PI must communicate with spons...
Project Remains at Penn <ul><li>Federal Sponsors </li></ul><ul><ul><ul><li>PI must communicate with Program Officer, Chair...
Project Remains at Penn <ul><li>Non-Federal Sponsors </li></ul><ul><ul><ul><li>PI must communicate with sponsor, Chair, De...
Transferring Sub-awards <ul><li>Communication, approvals, requests, closeout reports/invoices per terms of agreement </li>...
Completing the Relinquishing Statement (PHS3734) <ul><li>Completed by Departmental Administrator and should include the fo...
Transfers To Penn <ul><li>Submit required applications/forms to sponsor </li></ul><ul><ul><li>Federal PHS 398 or 416-1 </l...
Other Transfer Issues <ul><li>Transfer of award prior to official award notice to the University </li></ul><ul><ul><li>PI ...
Closeouts <ul><li>Communication with ORS  </li></ul><ul><li>Confirm final outlays/Freeze fund </li></ul><ul><li>Financial ...
Closeouts <ul><li>Begins with notification of award transfer </li></ul><ul><li>Expenditures/obligations must be reviewed  ...
Lessons Learned <ul><li>Delays are normally caused by: </li></ul><ul><ul><li>Untimely notice to sponsor & university admin...
Best Practices <ul><li>Review sponsor requirements </li></ul><ul><li>Begin the transfer process prior to effective date of...
Getting Assistance on Transfers <ul><li>For Financial Matters: </li></ul><ul><ul><li>Contact ORS accountant or Post-Award ...
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Brown Bag: Award Transfer

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Transcript of "Brown Bag: Award Transfer"

  1. 1. Award Transfers Office of Research Services ORS Brown Bag November 20, 2006
  2. 2. Overview <ul><li>Transferring the legal and administrative responsibility for a grant-supported or activity from one legal entity to another before the expiration requires sponsor approval </li></ul><ul><ul><li>Normally permitted when the permanent benefits attributable to original grant & equipment can be transferred </li></ul></ul><ul><ul><li>Sponsor will consider need for continued support and impact of changes in the scope of project </li></ul></ul><ul><ul><li>Sponsor will determine if additional reviews are necessary </li></ul></ul><ul><li>NIH supported projects transfer conditions </li></ul><ul><ul><li>Grant terminated in accordance with 45 CFR 74.61 or 92.43 </li></ul></ul><ul><ul><li>Non-competing continuation award withheld for administrative reasons </li></ul></ul><ul><ul><li>Original grantee has agreed to relinquish responsibility for an active award </li></ul></ul>
  3. 3. Sponsor Expectations <ul><ul><li>Notification of desire to relinquish/transfer will be timely </li></ul></ul><ul><ul><li>Award will be transferred in accordance with the terms and conditions identified in the agreement and or circulars & regulations </li></ul></ul><ul><ul><li>Required forms and documentation will contain accurate information </li></ul></ul>
  4. 4. The Award Transfer Process <ul><li>Notification/Documentation </li></ul><ul><li>Completion of required forms </li></ul><ul><li>Approvals/Signatures </li></ul><ul><li>Review of Expenditures/Balances </li></ul><ul><li>Receipt of Sponsor Approval </li></ul><ul><li>Revision of project period dates/Changes in award </li></ul><ul><li>Submission of Final Financial Report/Invoice </li></ul><ul><li>Resolution of unexpended funds </li></ul>
  5. 5. Project Transfers to New Institution <ul><li>Federal Sponsors </li></ul><ul><ul><ul><li>PI must communicate with Program Officer, Chair, Dean, BA and ORS </li></ul></ul></ul><ul><ul><ul><li>PI must prepare formal request to sponsor and have it countersigned by ORS </li></ul></ul></ul><ul><ul><ul><ul><li>Program officer, grants mgmt. specialist </li></ul></ul></ul></ul><ul><ul><ul><li>Relinquishment Statement must be completed (PHS 3734) </li></ul></ul></ul><ul><ul><ul><li>Final Progress </li></ul></ul></ul><ul><ul><ul><li>Final Invention Statement & Certification (HHS 568) </li></ul></ul></ul><ul><ul><ul><li>Sponsor Approval </li></ul></ul></ul><ul><ul><ul><li>Final (FSR) Financial Status Report (SF269)/Invoice </li></ul></ul></ul>
  6. 6. Project Transfers to New Institution <ul><li>Non-Federal Sponsors </li></ul><ul><ul><ul><li>PI must communicate with sponsor, Chair, Dean, BA and ORS. </li></ul></ul></ul><ul><ul><ul><li>PI must prepare formal request to sponsor & have it countersigned by ORS </li></ul></ul></ul><ul><ul><ul><ul><li>Indicate new institution, effective date of transfer and address unexpended funds </li></ul></ul></ul></ul><ul><ul><ul><li>Final progress report </li></ul></ul></ul><ul><ul><ul><li>Sponsor approval </li></ul></ul></ul><ul><ul><ul><li>Final (FSR) Financial Report/Invoice </li></ul></ul></ul>
  7. 7. Project Remains at Penn <ul><li>Federal Sponsors </li></ul><ul><ul><ul><li>PI must communicate with Program Officer, Chair, BA and ORS </li></ul></ul></ul><ul><ul><ul><li>Designate a new PI </li></ul></ul></ul><ul><ul><ul><li>PI must prepare formal request to sponsor and have it countersigned by ORS </li></ul></ul></ul><ul><ul><ul><ul><li>Program officer, grants specialist </li></ul></ul></ul></ul><ul><ul><ul><li>If approved, a revised notice of grant award (NGA) will be issued to reflect changes </li></ul></ul></ul>
  8. 8. Project Remains at Penn <ul><li>Non-Federal Sponsors </li></ul><ul><ul><ul><li>PI must communicate with sponsor, Chair, Dean, BA and ORS </li></ul></ul></ul><ul><ul><ul><li>Designate new PI to assume award </li></ul></ul></ul><ul><ul><ul><li>PI must prepare formal request & have countersigned by ORS </li></ul></ul></ul><ul><ul><ul><li>If approved, sponsor will provide revised award letter/notice </li></ul></ul></ul>
  9. 9. Transferring Sub-awards <ul><li>Communication, approvals, requests, closeout reports/invoices per terms of agreement </li></ul><ul><li>Modification for each sub-award must be issued by transferring institution </li></ul><ul><ul><li>Change period of performance end date </li></ul></ul><ul><ul><li>Change award amount accordingly </li></ul></ul><ul><ul><li>New sub-contract will be issued between the new parties involved </li></ul></ul>
  10. 10. Completing the Relinquishing Statement (PHS3734) <ul><li>Completed by Departmental Administrator and should include the following: </li></ul><ul><ul><li>Institution must be The Trustees of the University of Pennsylvania </li></ul></ul><ul><ul><li>If transferring award, include Institution or N/A </li></ul></ul><ul><ul><li>Effective date of termination and effective date of resignation should be the same except under exceptional circumstances </li></ul></ul><ul><ul><li>Provide itemization of equipment transferring </li></ul></ul><ul><ul><li>Indicate unexpended balance based on the award for the current budget period and the actual outlays for the current budget period (do not include carryovers) </li></ul></ul><ul><ul><li>Obtain ORS post award and pre-award authorized signatures </li></ul></ul>
  11. 11. Transfers To Penn <ul><li>Submit required applications/forms to sponsor </li></ul><ul><ul><li>Federal PHS 398 or 416-1 </li></ul></ul><ul><li>Complete required university & school documents </li></ul><ul><ul><li>Proposal must be complete upon notification of award transfer </li></ul></ul><ul><li>Review award notice/agreement </li></ul><ul><li>Forward documentation including carryover from prior institution to ORS </li></ul><ul><li>Set up advance account </li></ul><ul><li>Monitor Award (PBIL/PBUD) to ensure that carryover from prior institution received </li></ul><ul><li>Monitor cash to ensure that unexpended funds from prior period received </li></ul>
  12. 12. Other Transfer Issues <ul><li>Transfer of award prior to official award notice to the University </li></ul><ul><ul><li>PI must communicate with Chair, Dean, BA, & ORS </li></ul></ul><ul><ul><li>Prepare formal request to the sponsor and have it countersigned by ORS </li></ul></ul><ul><ul><ul><li>Relinquish rights to proposal </li></ul></ul></ul><ul><ul><ul><li>Indicate desire to continue research at new institution </li></ul></ul></ul><ul><ul><ul><li>Provide new institution & effective date of transfer </li></ul></ul></ul>
  13. 13. Closeouts <ul><li>Communication with ORS </li></ul><ul><li>Confirm final outlays/Freeze fund </li></ul><ul><li>Financial reports will be issued upon revision of notice of grant award or sponsor approval </li></ul><ul><li>Unobligated balances will be transferred in accordance with terms and conditions of the award </li></ul><ul><ul><li>Federal LOC Awards-balance from prior period transferred via FSR </li></ul></ul><ul><ul><li>Other Federal- unexpended cash will be remitted per terms & conditions </li></ul></ul><ul><ul><li>Non-Federal- unexpended cash will be remitted per sponsor instructions </li></ul></ul>
  14. 14. Closeouts <ul><li>Begins with notification of award transfer </li></ul><ul><li>Expenditures/obligations must be reviewed </li></ul><ul><ul><li>Must be reasonable, allocable, consistently treated </li></ul></ul><ul><ul><li>Allowable </li></ul></ul><ul><ul><li>Compliance with university & sponsor policies </li></ul></ul><ul><li>Review of encumbrances/PO’s </li></ul><ul><li>Address equipment transfers/Disposition </li></ul>
  15. 15. Lessons Learned <ul><li>Delays are normally caused by: </li></ul><ul><ul><li>Untimely notice to sponsor & university administrators </li></ul></ul><ul><ul><li>Incomplete or inaccurate relinquishment statements/notification of transfers </li></ul></ul><ul><ul><li>Outstanding final reports </li></ul></ul><ul><ul><ul><li>Progress, invention, and or financial </li></ul></ul></ul><ul><ul><li>Over/Underestimating unobligated balances </li></ul></ul><ul><ul><li>Lack of monitoring of grant expenditures upon notification that PI is transferring award </li></ul></ul><ul><ul><li>Untimely submission of transfer application to sponsors (new institution) </li></ul></ul><ul><ul><li>Untimely submission of FSR from prior institution </li></ul></ul>
  16. 16. Best Practices <ul><li>Review sponsor requirements </li></ul><ul><li>Begin the transfer process prior to effective date of transfer or as soon as PI notification is received </li></ul><ul><li>Send all forms and documents to ORS together </li></ul><ul><li>Review expenditures </li></ul><ul><li>Freeze fund as soon as possible </li></ul><ul><li>Communicate with ORS accountant/contract administrator regarding transfer & closeout issues </li></ul>
  17. 17. Getting Assistance on Transfers <ul><li>For Financial Matters: </li></ul><ul><ul><li>Contact ORS accountant or Post-Award Director </li></ul></ul><ul><li>For Non-Financial Matters: </li></ul><ul><ul><li>Contact your Contract Administrator </li></ul></ul>
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