Reactive
From time to time the institution receives notification from external sponsors advising that technical reports are over due. When such notifications are received, it is not uncommon for SPARCS to follow the following steps 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 College.
- Requests that the college secure the technical report from the Principal Investigator.
- 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 received by the appropriate sponsor contact.
- Requests that a copy of the technical report be submitted to SPARCS attention Senior Research Analyst for filing in the official program file and to dispute any future assertions by the sponsor of non-compliance with the technical reporting requirements.
- Notifies the sponsor and C&G when appropriate of the resolution to the technical reporting delinquency.
Proactive
Periodically, SPARCS personnel will inventory available on-line sponsor resources 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:
- Prepare a spreadsheet listing at least the SPARCS RAS number, Principal Investigator name, Project Title and Sponsor Name. SPARCS will attempt to identify the PS Project Number and Sponsor Award Number also.
- Send the list of overdue reports to the Associate Deans for Research (and Graduate Studies where relevant) and at least one alternate contact within the college's Research Administration or Contracts and Grants unit.
- SPARCS will request that the Associate Dean's office takes necessary steps to resolve the overdue report and update the spreadsheet with the steps taken to ensure the overdue report does not turn into a delinquency warranting sponsor time.
- SPARCS will request that in addition to the updated spreadsheet (above) that a copy of any technical report that is submitted as a result of these proactive steps be submitted to SPARCS, attention Senior Research Analyst for filing in the official program file and to dispute any future assertions by the sponsor of non-compliance with the technical reporting requirements.
Principal Investigator/Department/College Sanctions
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 Principal Investigator 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 Principal Investigator but not as a co-Investigator under the explicit direction of a non-suspended Principal Investigator.
- 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.