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Grant/Contract Transfers (when the PI leaves the institution)

Grants and contracts are awarded to the University of Arizona (UA), not to individual Principal Investigators (PI).  If a PI is leaving the University of Arizona, and wishes to transfer grants and/or contracts to the new institution, the grantee institution (UA) will determine whether to retain or transfer the award.  The University of Arizona must approve the relinquishing of grants/contracts and equipment to the PI’s new institution.  The sponsoring agency must also approve of these transfers, prior to the project start date at the new institution. 

Grant and contract transfers can be complex, especially those involving cost sharing, subcontracts, graduate students who are continuing their education at the original institution, awards having co-PIs, exports to foreign entities, or awards ending within a six month window. The PI and departmental administrator should consult with Sponsored Projects Services (SPS) well in advance of the anticipated transfer date to ensure a smooth transition. 

Equipment Transfers
Equipment purchased with sponsored funds for use on a specific project normally remains available for use for the duration of the project. Principal Investigators who are in the midst of projects that included funding for equipment and who will continue the project at a new institution with sponsor support may arrange to have the equipment transferred with them.  Remember, however, that if the transfer is to an entity outside the U.S., an export license may need to be obtained from the U.S. Government. Approval of the department head, dean, Sponsored Projects Property Administrator, and the Vice President for Research is needed before the equipment may be transferred. Reference http://www.fso.arizona.edu/capital/property/sps_equip.html  for University policy and procedures regarding transfer of equipment purchased with sponsored funds, state funds, and/or a combination of funding sources.

• Equipment purchased on grants and contracts may still be titled to the sponsor agency. When this is the case, the UA must obtain sponsor approval for transferring it to another institution.
• Only the Vice President for Research is legally authorized to give approval for transferring grant/contract-related equipment to another institution. If appropriate signatures are not obtained, legal action can be taken by the state.
• Transfers of equipment and technology outside the U.S. may require prior U.S. Government approval (contact the Export Control Officer)
• It is important to begin the approval process early, since it may take time to move the request through the university process and obtain the appropriate government approvals, if required.
• Research equipment cannot be transferred to a for-profit institution.

Transfer Process – Awarded Grants/Contracts
The PI and Department are responsible for initiating the transfer process, completing sponsor requirements, and gathering appropriate institutional approvals.  (Roles/Responsibilities Matrix)

To begin, contact your SPS Fund Accountant, and provide a list of the grants/contracts, using the Grant Transfer Memo.   SPS will need the following information for each award:

• Name of new institution
• Effective date of transfer
• Estimated unexpended balance as of the effective date of transfer
• Accuracy is critical.  The sponsor will use this amount to deobligate the UA’s award, and make an award to the new institution.  Sponsors usually deny requests to amend this amount after-the-fact. 
• List of equipment purchased on the grant that is to be transferred to the new institution
• Department/College approval for the transfer

Each sponsor has different procedures/formats for moving an award from one institution to another, and rules and regulations on grant transfers vary from funding agency to funding agency. 

NSF Transfer Procedures
The PI initiates the FastLane request and forwards it to Sponsored Projects for review and institutional approval.
Instructions on completing the FastLane PI Transfer request:
https://www.fastlane.nsf.gov/documents/pi_transfer/pi_transfer_1.jsp

NIH Transfer Procedures  
The PI and department initiate the Relinquishing Statement and submit the form to Sponsored Projects for review and institutional approval. 
PHS 3734 Official Statement Relinquishing Interest and Rights in a PHS Research Grant http://grants1.nih.gov/grants/phs3734.pdf
HHS 568 Final Invention Statement and Certification http://grants1.nih.gov/grants/hhs568.pdf

Sponsors with no specific format/guidelines
For sponsors, with no specific format or instructions, contact your SPS fund accountant with the required information (above – add anchor).  Sponsor approval is required for all grant/contract transfers, so in lieu of a specific format, prepare a letter to your sponsor requesting approval to transfer the award.  The letter should contain identifying information about the award (PI Name, Title, Grant/Contract Number), the effective date of the transfer, the new institution, unexpended balance (direct and F&A costs), and the list of equipment to be transferred (if any).  Send the letter to Sponsored Projects for review and institutional approval. 

Transfer Process – Pending Proposals
When leaving the University of Arizona, a PI may have pending proposals that have a chance of being funded.  Some sponsors require that the UA relinquish their interest in the proposal, so that if it is funded, the new institution will receive the award. Contact Sponsored Projects Preaward if your sponsor requests a letter relinquishing your proposal to the new institution. 

Requests for other arrangements will be considered on a case-by-case basis. 

What happens next?
The PI and Sponsored Projects will be required to complete final progress (PI) and financial (SPS) reporting.   Sponsored Projects will refund the unexpended balance to the sponsor, if applicable. 

In general, when the sponsor approves of the transfer, they will:

• Issue a revised award or modification to the old institution (original grantee) which shows the revised end dates and deobligates the unexpended balance, if any. The deobligation amount is the unexpended balance reported to the sponsor when the transfer was requested. 
• Issue an award to the new institution.  The award will include the unexpended balance from the UA, and may include reference to future funding, if applicable.

Assigning a new PI/Keeping the Award at the UA
The administering UA department has the option of nominating a replacement PI to take over responsibility for the award. The sponsor, however, makes the final determination based on the credentials of the initial PI and the proposed replacement PI.

Transfer of Gift/Fixed Price Balances
Gift funds and funds remaining at the end of a fixed-price contract are considered University funds and are not available for transfer to the new institution.

Roles and Responsibilities

P = Primary responsibility
S = Secondary responsibility