Home | Proposals | Awards | Compliance | Policies/Forms | ePortal | Training | Contact | Search

Delinquent Technical Reports Management

Updated Nov. 20, 2008

Paramount to NC State University's [NCSU] ability to sustain its extensive externally sponsored endeavors is the timely, meaningful and high-quality technical reporting required by individual sponsored agreements. Delinquencies cause the institution to suffer in its reputation with sponsors and often carry significant institutional sanctions. To facilitate compliance with technical reporting requirements, and remedy delinquent technical reports, Sponsored Programs and Regulatory Compliance Services [SPARCS] subscribes to the following guidance associated with securing timely and satisfactory results:

Reactive

From time to time the institution receives notification from external sponsors advising that technical reports are overdue. When such notifications are received, this is the standard procedure for SPARCS to follow to ensure a satisfactory response and resolution:

• Forward a copy of the request, or if the request is by phone, reduces the request to writing and forwards, by e-mail, to the Principal Investigator [PI] (cc’ing the designated CRO), requesting that he or she submit the technical report to the sponsor.
• When appropriate, but not necessarily always, SPARCS requests that upon securing the technical report from the Principal Investigator, ensure that the technical report is submitted and if possible transmittal confirmation.
• Requests that a copy of the technical report be submitted to the designated College Research Officer [CRO], to be uploaded into the Research Administration Data and Reporting system [RADAR] secure documents repository, to dispute any future assertions by the sponsor of non-compliance with the technical reporting requirements. The CRO is responsible for notifying the Special Projects Advisor in SPARCS once the technical report has been uploaded.
• Notifies the sponsor and Contracts and Grants [C&G], when appropriate, of the resolution to the technical reporting delinquency.

Proactive

Periodically, SPARCS personnel will inventory available on-line sponsor resources and our NCSU RADAR database, to ascertain whether overdue technical reports exist. If in so doing SPARCS identifies overdue technical reports, SPARCS will take the following pro-active steps to resolve these delinquencies before the sponsor is forced to take steps to resolve the matter:

• Each month, prepare a table / spreadsheet listing at least the SPARCS SPS number, Principal Investigator name, Project Title and Sponsor Name. SPARCS will attempt to identify the Financials account number and Sponsor Award Number also.
• Send the list of overdue reports to the designated CRO and where needed, to the Associate Deans for Research (and Graduate Studies where relevant). SPARCS will request that the CRO’s office takes necessary steps to resolve the overdue report(s) and provide the Special Projects Advisor with periodic status reports of steps taken to ensure the overdue report does not turn into a delinquency warning from sponsor.
• SPARCS will request that a copy of any overdue technical report that is submitted as a result of these proactive steps be submitted to the designated CRO, for uploading into the project’s RADAR secure document repository, to dispute any future assertions by the sponsor of non-compliance with the technical reporting requirements. The CRO is responsible for notifying the Special Projects Advisor in SPARCS once the technical report has been uploaded.

Principal Investigator/Department/CollegeSanctions

Non- or unsatisfactory response by the PI, Department or College (defined as not responding or responding in a manner that does not resolve the matter to the satisfaction of the sponsor) may result in pressure applied beyond that inherent in failing to comply with the expectations of the institution's sponsors. These pressures may be in the form of the following sanctions imposed on a case-by-case basis in consultation with the Associate Dean for Research and Associate Vice Chancellor for Research Administration:

• Suspension of the right to submit proposals for new, renewal, supplemental or continuation funding by the PI or co-Investigators on the delinquent project until satisfactory resolution of the delinquency.
• Suspension of current sponsored projects to further expenditure pending satisfactory resolution of the delinquency.
• Termination of existing sponsored projects and termed suspension from submitting proposals or managing awards as a PI, but not as a co-Investigator under the explicit direction of a non-suspended PI.
• Recovery of the costs associated with agreement default (non-payment) through assessment of the college or unilateral reduction in earned overhead receipts returned to the college

Questions or concerns regarding delinquent technical reporting should be addressed to Associate Vice Chancellor Matt Ronning by e-mail at matt_ronning@ncsu.edu or Special Projects Advisor Debbie Hunt by e-mail at debbie_hunt@ncsu.edu.