Initiating the process - Contact Office of Research and Development as soon as possible after the information about the departing faculty member has been made public. Principal Investigators who are transferring to other academic institutions may request that their grants be transferred to the new institutions. To facilitate this transfer, the investigator should provide Office of Research and Development with the following information: - list of active awards and pending proposals (include title, sponsor, sponsor award or proposal number when known, and/or the Project ID)
- the status of each project and for awards, the estimated funds to be transferred
- name, phone number, and e-mail address for a business contact at the new institution
- the effective date of transfer
If the faculty member is a mentor or sponsor for a fellowship, please call this to the attention of Office of Research and Development. Some awards must stay at UMB, such as clinical study agreements, Federal contracts, and many training grants. In these cases, a change of principal investigator request needs to be initiated. Review all expired awards to ensure that all required reports have been submitted to the sponsor. The PI may also request that equipment purchased with sponsored funding be transferred to the new institution.
UMB Policy on Transfer of Equipment Don’t forget to close out… - Material transfer agreements
- IRB and IACUC protocols
- EHS matters (e.g. hazardous waste disposal)
- Conflict of interest matters
Budget and financial issues - It is the department’s responsibility to reconcile the account (usually in cooperation with Restricted Funds staff). Any subrecipient agreements issued under the grants to be transferred must be closed out and final payments made. It is also the department's responsibility to manage project personnel issues, such as lay-off notice or reassignment (ask Human Resource Services for advice as needed). Next steps – Office of Research and Development will work with the PI and department administrator to review active and pending grants and contracts of the faculty member on a case-by-case basis in accordance with the sponsor's instructions for grant transfer. A relinquishing statement, final fiscal report or final invoice, and final invention report signed by the PI are commonly required from UMB; some sponsors also require a final progress report. The faculty member also needs to contact the sponsored projects office at the new institution regarding forms and documents that the sponsor requires from them. The PI must submit final technical and invention reports for any grant or contract that has terminated or expired or that will terminate or expire upon the departure of the faculty member. Technical reports may be submitted directly to the sponsor, but a copy must be provided to Office of Research and Development. Most other forms and reports require the signature of an authorized official in Office of Research and Development and/or Restricted Funds. Signatures needed – Transferring awards and equipment to another institution requires the prior written approval of the department chair, the dean and Office of Research and Development. A memo of request signed by the PI and the department Chair is directed to the Dean for approval, and the approved document is forwarded to Office of Research and Development. The memo must specify the awards and equipment that the PI wishes to transfer. For each item of equipment, provide the Project ID or FAS account number under which the equipment was purchased. Office of Research and Development cannot sign any documents required for transfer of an award or equipment (relinquishing form, contract amendment, etc.) without the Dean's approval for the transfer. Faculty transferring to for-profit entities – The process for transfer of faculty to a for-profit entity is the same as that for transfer to an academic institution. However, the for-profit entity may not be eligible to receive funding from some sponsors or for some Federal grant programs. In addition, there are restrictions on the transfer of equipment.
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