1. Proactive Technical Report Notices Research Administration Round Table August 24, 2005 Dan Dwyer

2. Proactive Technical Report Notices Why we do it How we do it Sponsored Program Services responsibility PI responsibility Department responsibility A measure of success

3. Why we do it Technical report collection has been time consuming, a low priority and an irritation for all parties Federal agencies are becoming more serious about past due reports including threats to halt future funding for entire institution Frequent A-133 audit finding at other institutions

4. How we do it Send monthly e-mail to PI for technical reports due in next 45 days or past due Send summary e-mail to department contacts PI or department contact enters sent date in Sponsored Portal E-mail generated to GCO that project may be closed

5. Example e-mail Dear (PI name here), This is an automated message from Sponsored Programs Services. Our system indicates that one of your final technical reports (deliverables) is approaching its due date or is overdue. If the report has been sent, please use the link below to enter the date. If you expect the project to be renewed, the final technical report requirement will likely be postponed. These reminders will be generated on a regular basis to assist you in managing your reporting requirements. Due: 12/31/2004 Project: 33000 GCO: Jeffery Corbin jdc37@cornell.edu Retention period: 3 Sponsor: Animal/Plant Hlth Inspec Serv USDA http://portal.research.cornell.edu/r.cfm?P=33000&AP=A001 The terms of your award indicated that all relevant information, including final technical reports, must be kept the number of years specified above. As principal investigator you are responsible for retention of all technical deliverables. The contact within your department who assists with management of sponsored awards has been notified about this deliverable. If you have any questions, or if you expect a project to be extended, please contact the Grant and Contract Officer listed with the project above. Sincerely, Sponsored Programs Services

6. Status matters ASAP – monthly notice sent APA – monthly notice not sent ACOSP – monthly notice sent AC – monthly notice not sent Due date prior to 7/1/2001 – monthly notice not sent ASAP – Award Signed by All Parties, APA – Award Pending Amendment, ACOSP – Award Closed by OSP, AC – Award Closed

7. Sponsored Program Services responsibility Submit non-technical deliverables including fiscal, equipment and patent reports Close out project files when non-technical deliverables are completed Remind PI electronically of soon due and past due technical reports

8. PI responsibility Submit technical report to sponsor on time Notify SPS of sent date via Portal or communication with GCO Maintain all relevant information, including final technical reports for the number of years specified in the retention period

9. Department responsibility Educate faculty on the process and responsibilities At departments discretion, assist PIs with submission, notification and retention of technical reports (BRIO report available to assist)

10. A measure of success

11. Another measure of success Avg Days to Send Avg Days to Enter Number Entered Sent on Time 2003-04122579724383 2004-0590284882418