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Project Transfers

Transfer of an award when the PI or project moves from one institution to another usually requires:

  • Prior approvals from the sponsor

  • Prior written approval from the University

  • Written approval/acceptance from new recipient institutional official(s)

When a PI who is moving to another institution, campus, or department wants to transfer the equipment purchased for their projects through an external award, it is incumbent upon them to understand and follow the VSU OSRP equipment transfer policy and procedure.

All transfers begin at the institution the PI is leaving, and it is the PI’s responsibility to initiate the process. Prior to changing institutions, the PI must notify the granting agency and the exiting institution’s Office of Sponsored Projects (or equivalent). NIH is the only federal agency that has explicit forms and instructions for the transfer process. NSF has a similar, more general process, and other agencies may have guidelines as well. Presented below are the procedures for transferring NIH and NSF grants. Please contact OSRP and we will assist you with finding and executing the transfer process for your specific agency.

Note: ALL PIs seeking to transfer grants FROM VSU MUST complete a relinquishing memo and submit it to OSRP.

NSF transfer process

The NSF Transfer Policy requires that NSF approve transfers from one institution to another before the expiration of the project period. The decision to authorize transfer of the grant will be based upon the following information:

  1. The project has been relinquished by the institution before the expiration

  2. The facilities and resources at the new location allow for the successful performance of the project

  3. The PI plans no significant change in research objectives and level of expenditures from those described in the previously approved project.

To request continued support at a new institution, The PI must notify the NSF Program Office to request preliminary approval for the transfer. If NSF and both institutions agree, formal notification of the impending transfer should be electronically initiated by the PI through FastLane. The request shall include a:

  • Brief summary of progress to date

  • Description of work yet to be accomplished

  • Completed on‐line transfer request, including total estimated disbursements to date (transfer amount will be automatically calculated, based on the amount entered in total estimated disbursements). VSU is responsible for including any anticipated costs yet to be incurred against the original grant in the total estimated disbursements,

  • Detailed line item budget for the transfer amount and any outstanding continuing grant increments. The most current Federal Cash Transaction Report must be posted to NSF’s financial accounting system prior to submitting the transfer request.

VSU will need to electronically route the transfer request to the new institution to complete the process.

The new institution, in collaboration with the PI, will need to complete the request by:

  • Providing a detailed budget and budget justification for the transfer amount agreed to by both organizations. Upon transfer of the grant to the new organization, any monetary discrepancies must be resolved between the original and the new grantee. NSF will not intervene in any disputes between the two organizations regarding the transferred amount; and

  • Electronically signing the request when submitted to NSF.

Upon receipt of the above material, NSF will review the request and, if approved, deduct the specified transfer amount from the original grant and re-establish it under a new grant number at the new organization. Award notification by the NSF Grants and Agreements Officer will constitute NSF approval of the grant transfer.

As a final step, the PI should log-in and update his/her FastLane profile to reflect the change of institution.

NIH transfer process

The NIH Change of Grantee Institution Policy requires that a transfer application be submitted through the new institution. This application will receive administrative review to determine if the transfer is appropriate and to determine the level of NIH funding. The decision to authorize transfer of the grant will be based upon the following information:

  1. The project has been relinquished by the institution

  2. The facilities and resources at the new location allow for the successful performance of the project

  3. The PI plans no significant change in research objectives and level of expenditures from those described in the previously approved project.

In addition, if a mentor (i.e. K-series) or an "expert" (i.e. some R03s) is required by the conditions of the award, then that individual at the new institution must be identified and indicate his/her willingness to accept the grantee. NIH must approve this mentor. If the proposed change of institution does not meet these criteria, competitive review will be required.

A change of grantee that involves the transfer of a grant to or between a foreign institution or international organization must also be approved by the appropriate NIH Institute or Center's Advisory Council or Board.

A grant to an individual may not be transferred. However an individual fellowship may be transferred to a new institution. The transfer process will be the same as for a change a change of grantee organization. A change in an individual fellow's department or sponsor within the same organization is not considered a change of grantee organization.

To request continued support at a new institution and to accomplish closeout at the exiting institution, the following should be prepared by the department from which the PI is leaving and must be submitted to NIH from the Office of Sponsored Research and Programs (or equivalent) at the original grantee institution:

The PI transferring should coordinate with the new institution to provide the following to NIH:

  • Form PHS 398, Grant Application: The new institution must submit an application with "CHANGE OF GRANTEE INSTITUTION" typed in capital letters across the top of the front page. This application must contain the following information:

  • A description of the facilities at the new institution and the probable effect of the move on the project.

  • A detailed budget for the initial (transfer) budget period and, when future commitments exist, categorical budgets for those periods. Each budget should be based upon the previously recommended level(s). In the event of a mid-budget period transfer, the initial budget should be based upon the direct costs being relinquished by the exiting institution as reflected on Form PHS 3734.

  • A list of equipment (which was purchased in whole or in part with grant funds and had an acquisition cost of $1,000 or more) to be transferred from the exiting institution. Such a listing in the application represents the new institution's acceptance of title to the transferred equipment.

  • A progress report that will serve in lieu of a final progress report for the exiting institution.

  • A statement concerning the current research plan and an indication of whether the original plan has changed. If changed, provide appropriate details.

  • Biographical sketches of all new professional personnel to be associated with the project.

  • Other support pages for all key personnel.

  • Special justification when requesting the transfer of a budget period with less than 6 months remaining.

Applications should be submitted as early as possible to allow for administrative review at the institution the PI is leaving, the new institution, and NIH to avoid delay in transferring the grant. The new institution will need to submit this application to the NIH.

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