Pre-Award

Transfer Out

Faculty terminating their employment with the University may be able to transfer projects to their new institution. Since grants are awarded to the University and not the investigator, the University must "relinquish" the grant and any related equipment to the new institution. Also, the sponsoring agency must approve all grant transfers from one organization to another. There may be instances in which the University elects to retain the project. If so, a new PI will be nominated to replace the individual leaving the University.

In accordance with NIH Policy 8.1.2.7, NIH prior approval is required for the transfer of the legal and administrative responsibilities for a grant-supported project or activity from one institution to another before the expiration of the approved project period (competitive segment).

In such a transfer, both OSP (pre-award) and PAF (post-award) assist in different capacities. The transfer process can take several months.

As the grantee institution, the University is obligated to comply with sponsor regulations. All notifications to sponsors must be in writing and co-signed by an authorized signing official (ASO). A verbal conversation is not considered official, nor is correspondence between the PI and sponsor personnel. 

Existing Grants

NIH

Prior to the issuance of the relinquishing statement, the following documents must be provided to PAF:

  • A departmental/school approval letter. A signed letter from the department chair and dean that outlines the departure date and includes the list of all grants and contracts being relinquished. The department will also need to contact Capital Assets regarding any transfer of equipment. The department chair and dean must agree that there is no faculty currently at the institution that could be assigned as a new PI.
  • Completed NIH Relinquishing Statement (PHS 3734).
  • Completed NIH Final Invention Statement (Form HHS 568).
  • If applicable, copies of subcontract amendments terminating the project at the collaborator's institution.

PAF will issue the required relinquishing documents and assist the PI with the next steps. For NIH grants, PAF will contact the award's grant management officer (GMO). Visit the NIH Grants Policy Statement for instructions regarding NIH Change in Grantee Organization.

 

All Other Sponsors

  • Complete the necessary sponsor forms for award and/or equipment transfer.
  • Contact PAF to determine and agree upon account balances. PAF is responsible for submitting final financial reports to the sponsor. Grants cannot be transferred from one institution to another until the financial reports are submitted.
  • Route any documents requiring institutional signatures to PAF or OSP for review and execution. No other department or personnel are authorized to relinquish grants or equipment on behalf of the University.
  • Complete any additional requirements outlined by the agency or the institution to which the grant is transferred.
  • If applicable, copies of subcontract amendments terminating the project at the collaborator's institution.

 

Grants Submitted But Not Awarded

Once the department chair and dean have agreed that there are no faculty currently at the institution that could be assigned as the new PI, the department will prepare a letter stating that the University is relinquishing the proposal. This letter should be addressed to the grants management specialist or program officer assigned to the grant. This letter should be signed by the department chair, dean, and an authorized OSP official.