Guide to Research Compliance : Award Closeout

Compliance Item

Resource

PROTOCOLS AND REGULATORY REQUIREMENTS

If research continues once funding ends, are you aware you must continue to comply with regulatory requirements pertaining to your research?

Research Subjects’ Protection Programs

Scope

If your studies involve human embryos or embryonic stem cell lines ineligible for federal or state funding, the Office of Regulatory Affairs will review project records and deactivate the registration as appropriate.

Appropriate department

DATA AND DOCUMENTATION

Do you know the University records retention schedule and policy and have you maintained, stored, and destroyed records according to this policy?

Records and Information Management

Office of the General Counsel (OGC)

Do you know the University guidelines for the destruction of research information? Do you know your sponsor’s requirements for record retention?

Records and Information Management

OGC

BUDGET AND FINANCES

Have you worked with your department to address any deficit spending or cash balance situations?

Department grant accountant

SFR grant accountant

Does your documentation support and show that for a particular project, each funding source was charged appropriately?

Department grant accountant

If this was a fixed price award, have all deliverables been met and unspent money handled according to University policies and procedures?

SPA grant administrator

Fixed price

SFR grant accountant

Does your account have an overdraft? If so, have you directed your grant accountant how to handle the deficit?

Department grant accountant

Removing

Has spending stopped on projects that have ended?

Department grant accountant

FINAL REPORTING

Have you submitted all required information within the sponsor’s deadlines?

Project closure

Notice of Grant Award (NOGA)

Does your sponsor require you to submit final reports?

SPA

LABORATORIES

If the lab is being vacated, have you followed Environmental Health and Safety’s lab closeout procedures?

Environmental Health and Safety (DEHS) Checklist

Biological Material Close-out

If the lab is not being vacated, are any hazardous chemical or biological materials associated with the award turned over to a responsible individual? If no one is available to take responsibility for these materials they must be handled per the lab closeout policy.

Environmental Health and Safety (DEHS) Checklist

Biological Material Close-out

If radioactive material is to be turned over to another individual contact Environmental Health and Safety.

Department of Environmental Health and Safety (DEHS)

CONTROLLED SUBSTANCES

Have you notified the Unit registrant of the pending lab closeout?

Office of Regulatory Affairs

Have you completed the Controlled Substance Disposal Form?

Disposal Form

ANIMALS

If research activity continues once funding ends have you ensured your animals be maintained on a currently approved protocol?

IACUC - Protecting Animal Subjects Guide

RESEARCH RELATED MATERIALS

Will you provide your research materials (biologicals, datasets, cell lines, seeds, plants, germplasm release, etc.) to an external source? If so, and you believe the materials have commercial significance, contact OTC. If your research materials are agricultural related, you must contact the appropriate review committee.

Office for Technology Commercialization

CFANS

Did you return any unused materials to the sponsor or vendor? Otherwise, did you destroy any unused materials or documents?

SPA grant administrator