Award Close-Out

The terms and conditions of an award should identify the date of all deliverables including the final technical, financial, and property reports and invention statements.  Final Technical Reports are the responsibility of the PI. Questions related to final financial and property reports should be directed to ASRSP.  

Patent/Invention Reporting

SR facilitates final invention reporting dependent on the mechanism and methodology of a given sponsor. In all cases, SR sends a request to the Innovations and New Ventures Office (INVO) for information on whether there have or have not been any patents or inventions reported for a particular award. Results from INVO are then migrated to a sponsor's form. For NIH awards and reporting through eRA Commons, SR will complete and submit the final invention data without a need for PI or departmental action unless a question or concern arises.

Award Transfers and Relinquishment

Awards are made to institutions, not directly to PIs. Therefore, the relinquishing institution must agree to transfer awards if/when its PI moves to another institution. Sponsored Research has a key role in transferring awards to Northwestern from other institutions (when a PI is arriving to Northwestern) or from Northwestern to other institutions or entities (when a PI is leaving Northwestern).

Transfers of grants and contracts can be quite complex, especially those involving subcontracts, graduate students who are continuing their education at the original institution, awards having co-PIs, or awards ending within a six-month window. In all cases, it is recommended that a PI and their departmental administrator consult with Northwestern Sponsored Research staff at least ninety (90) days in advance of the transfer date. Rules and regulations on grant transfers vary widely from funding agency to funding agency. Sponsored Research staff will determine whether the terms of an award allow it to be transferred and will work with their counterparts at the relinquishing institution (or, in the case of departing PIs, the new institution), as well as agency personnel, to affect the transfer. In general, it is expected that equipment purchased on an ongoing grant will move with the PI to the new institution. Transfer s of equipment purchased on previous grants and/or using institutional funds are subject to negotiation between the PI and their department chair.

For more information on transferring an NIH grant to another institution, see NIH Grants Policy Statement, Part 8.1.2.7 (Change of Recipient Organization).

Initiating a Transfer

To initiate an award transfer FROM Northwestern (or initiate a relinquishment), submit an award modification in CERES.

To initiate an award transfer TO Northwestern, provide Northwestern Sponsored Research with a list of each award to be transferred and all pending grant proposals, annotated to show the budget period and project period begin and end dates; the name of the agency(ies); award number(s); and the names and phone numbers of the agency program officers and grants management staff. In the case of incoming grant transfers, it is also helpful to include copies of the actual award notices, including award terms and conditions, a copy of the most recent monthly financial statement, and, if known, the name and phone number of the grants administrator in the grants office of the other institution.