PI Research Checkout Procedures - ISSUE by lonyoo


									                     Template Example – PI Research “Check-out” Procedures

          ISSUE                  INSTITUTIONAL CONTACT                    FORM                       NOTE

1. Ensure research            Office for Sponsored Research       OSR-4: Award          * Award close-out includes
   projects are either        (OSR):                              Transfer or           submission of final technical
   appropriately closed,*      -   Your OSR Grant and Contract    Relinquishment        reports, final invention
   transferred,** or               Officer (GCO)                                        statements, and property
   handled appropriately                                                                reports, as appropriate.
   administratively if the                                                              ** For projects remaining at
   project is staying at NU                                                             NU, ensure the departing PI
   with the departing PI                                                                names a replacement PI at NU.
   remaining PI of the                                                                  If the project is leaving NU
   project. ***                                                                         with the PI, notify OSR as soon
                                                                                        as possible so they may
                                                                                        coordinate the project transfer
                                                                                        with the new institution.
                                                                                        *** If the departing PI
                                                                                        remains PI of a project
                                                                                        awarded to NU, there are
                                                                                        institutional administrative
                                                                                        issues to consider. Please see
                                                                                        below relative to effort
2. Ensure research project    Accounting Services for                                   * ASRSP must adhere to strict
   expenditures have been     Research and Sponsored                                    sponsor submission dates for
   certified.*                Programs (ASRSP):                                         the final financial
                               - Your ASRSP Grant and Contract                          report/invoice.
                                 Financial Administrator (GCFA)
3. Ensure effort reports      ASRSP:                              Paper effort report   * A departing PI should
   have been completed        - Your ASRSP Effort Coordinator     template              complete and certify an up-to-
   and certified.*                o Chicago campus                                      date effort report during the
                                  o Evanston campus                                     exit interview. Click here for
                                                                                        paper template.
                                                                                        ** If a departing PI remains PI
                                                                                        of a project awarded to NU, an
                                                                                        effort report is not generated
                                                                                        through the ERS system as the
                                                                                        PI in this situation is no longer
                                                                                        an NU employee, but
                                                                                        considered an unfunded
                                                                                        adjunct professor. A paper
                                                                                        effort report must be
                                                                                        generated and submitted each
                                                                                        quarter the PI remains PI of
                                                                                        the project. Click here for
                                                                                        paper template.
4. Ensure research project    ASRSP & Accounting Services:        Bill of Sale
   equipment is accounted     - ASRSP: Property Manager
   for, transferred,          - Accounting Services: Senior       Indemnification
   disposed of, and             Accountant, Capital Assets,       Agreement for
   documented                   Equipment Inventory               Donated Item
                                                                  Equipment Disposal
5. Ensure protocols for       Office for the Protection of        For IRB: Project
   human subjects and         Research Subjects (OPRS):           Closure/Termination
   animals are closed          - OPRS/IRB:                        Form
   appropriately.                  o irb@northwestern.edu
                              - OPRS/ACUC:
                                   o (312) 503-9339
                                   o acuc@northwestern.edu
6. Ensure laboratory          Office for Research Safety          Utilize ORS’s
   materials and supplies     (ORS):                              Laboratory Closeout
   are appropriately           -   Your ORS Laboratory Safety     Checklist as
   handled and                     Specialist:                    appropriate
   documented and                  o Chicago campus
   required laboratory             o Evanston campus
   closing surveys are
7. Ensure original research   Office for Research Integrity:                            * Research records coming
   records* are               - Associate Director for ORI                              from projects awarded to NU
   maintained by NU. **                                                                 are the property of NU. PIs
                                                                                        may take copies of research
                                                                                        ** NU must ensure original
                                                                                        records are retained and
                                                                                        destroyed as appropriate.

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