Transferring a Grant
When a PI transfers from one U.S. research institution to another, sponsored projects may also be transferred. However, the final decision on transfer is left to the discretion of the sponsor. Generally, grants are eligible for transfer except under the following circumstances:
- The grant is in the last six (6) months of the funding period.
- The award was based primarily upon facilities or resources unique to the original recipient institution.
- The institution to which the PI is transferring is ineligible to receive funds.
Follow these steps when a PI transfers to another U.S. institution and wishes to transfer grant funds:
- PHS grants. In order to transfer PHS (e.g., NIH) grant (whether pending or funded), the PI must
complete a relinquishing statement and process it through the institution where the
grant originated. The Relinquishing Statement can be found at http://grants.nih.gov/grants/
phs3734.pdf. For funded grants, the grant must also be closed out at the original recipient institution; so PIs should work with the original institution on that.
- A "new" grant application must be submitted through the new institution, following the instructions provided below about which forms to complete. An original and two copies of a transfer application should be submitted to the grants specialist at NIH. If the original award was the result of a modular application, modular procedures also apply to the request for change of grantee. The new application should include, at a minimum:
- Application face page (PHS Form 398) with "CHANGE OF GRANTEE INSTITUTION" typed in capital letters across the top of the page.
- A progress report for the current year (for funded grants), including a statement regarding the goals of the upcoming year.
- A resources page including a description of the facilities at the new institution and the probable effect of the move on the project.
- Budget pages (current and future years). For modular grants, narrative budget information, including total direct costs and F&A costs for the current budget period
- A statement concerning the current research plan and an indication of whether the original plan has changed. If changed, appropriate details should be provided.
- Updated biographical sketches for new key personnel.
- Updated other support pages for all key personnel (if necessary).
- A checklist page. For modular grants, information regarding the number of modules and the basis for computing F&A costs should be provided for future years on the checklist page. NOTE: UT's F&A rate is 48% MTDC for the Memphis campus; 38% MTDC for UTGSM-K. This information is on our website under FAQs and Budgets.
- An approved human/animal assurance(s), and IRB/IACUC approval date(s) (if applicable). Information on the compliance committees can be found on our research compliance pages: http://www.uthsc.edu/research/research_compliance/
- Human subjects education certification for key personnel, if applicable. See information
- A list of equipment (which was purchased in whole or in part with grant funds and has an acquisition cost of $5,000 or more) to be transferred from the original grantee institution. Such a listing in the application represents acceptance of title to the transferred equipment.
Institution information (ID #, contacts, etc.) is on our web site under FAQs. http://www.uthsc.edu/research/research_administration/info.php PIs should work with their departmental business office to prepare the UT budget
and other forms and route it to ORA for institutional signature. The UT route sheet
can be found on the UTHSC ORA web site: http://www.uthsc.edu/research/research_administration/forms.php
For additional questions, contact firstname.lastname@example.org or call 901 448-5587.
- Non-PHS grants:
For other types of grants, please bring a copy of the original grant application and the notice of award to your departmental business manager, who will work with Research Administration to determine steps needed to transfer the grant. Generally, a letter requesting the transfer should be prepared and should include the following:
- Name of PI
- Name and number of grant
- Name or original institution
- Name of new institution
- Reason for transfer
- Proposed date of transfer
- Funding amount and list of equipment to be transferred
- Request for approval of the transfer
- Signatures of PI and Institutional Official
Contracts - Generally, contracts do not transfer from one institution to another. In some cases, if the PI wishes to continue the project at the new institution, he or she may request to terminate the contract at the original institution and enter into a new agreement at the new institution. Please work with the Research Administration and Sponsored Programs offices at the respective institutions, as well as your departmental business manager regarding contracts.
Main #: (901) 448-5587
Fax: (901) 448-7600
Deborah L. Smith, Ed.D.
Associate Vice Chancellor for Research
Memphis, TN 38163
Phone: (901) 448-4823